The new Handbook

Overview

• New structure and approach• Key changes in new Code of Conduct• Enforcement changes• Supervision• Entity regulation• Implementation

BSB Handbook– Introduction (I)– Code of conduct (C)

• Core duties• Conduct rules• Rules applying to specific groups

– Scope of practice, authorisation and licensing (S)

– Qualifications (Q) (yet to be reviewed)– Enforcement (E)– Definitions(D)

The Code of Conduct

• 10 core duties (CD)– Core elements of professional conduct that apply to all barristers (and

others)

• Outcomes (o)– Descriptive, rationale for rules and aid understanding of rules and

guidance; not mandatory but will be taken into account when considering breaches of the rules

• Rules (r)– Supplementing core duties where specific rules necessary

• Guidance (g)– Assists in the interpretation of rules, examples of expected

behaviour etc (not mandatory)

The Core Duties• You must observe your duty to the court in the administration of justice

[CD1]• You must act in the best interests of each client [CD2]• You must act with honesty and integrity [CD3]• You must maintain your independence [CD4]• You must not behave in a way which is likely to diminish the trust and

confidence which the public places in you or in the profession [CD5]• You must keep the affairs of each client confidential [CD6]• You must provide a competent standard of work and service to each

client [CD7]• You must not discriminate unlawfully against any person [CD8]• You must be open and co-operative with your regulators [CD9]• You must take reasonable steps to manage your practice, or carry out

your role within your practice, competently and in such a way as to achieve compliance with your legal and regulatory obligations [CD10]

The conduct rules• You and the court• Behaving ethically• You and your client• You and your regulator• You and your practice

Some key changes

• All core duties to apply to unregistered barristers when providing legal services– Trust and confidence and co-operation with regulators

apply at all times– Also need to provide information to clients

• Associations and premises sharing – generally relaxed; but novel business arrangements

can’t circumvent the regulatory requirement / outcome and especially not confuse clients

• Reporting certain matters to the BSB:– includes serious misconduct by self and others– Exemption for barristers working on Ethical Helpline

• Chambers admin:– Appoint someone to liaise with BSB– Members to take (reasonable) personal responsibility– No appointment of person disqualified by BSB– Requirement to have risk management arrangements

in place

• Foreign work and public access

Further areas of clarification

• Referral fees• Not misleading clients• Accepting and return of instructions• Non-discrimination and cab-rank rules• Ceasing to practice• Client money• Insurance

Scope of practice and authorisation rules

• Scope of practice of different categories of barrister

• Rules for issuing practising certificates– Includes rules for authorisation to conduct

litigation• Registration of European Lawyers Rules

Litigation• Self-employed barristers will be able to apply

for an extension to their practising certificate• Self-assessment questionnaire, including:

– Knowledge, skills and experience of litigation;– Public access training;– Administrative systems and skills to manage

litigation effectively– Appropriate insurance

• Application fee• Appeals process

Enforcement changes• Admin sanctions available for breaches where

proportionate– Power to impose rests with PCC (can be delegated to

staff)– Max fine increased to £1,000 for individuals

• Cases not appropriate for NFA or admin sanctions referred to a disciplinary tribunal

• New enforcement strategy

Enforcement changes• Disqualification powers:

– Where breach caused and in public interest to prevent them working for a BSB regulated person

– Requirement to seek BSB approval before employment

– Only DT (or interim panel) could impose– May apply to us to have it lifted

• Interim suspension and disqualification panels:– PCC’s powers enhanced– Triggers for referral and powers available widened– Immediate interim suspension powers

Supervision• New risk-based approach;• Chambers/entities initially – then other areas of

activity;• Risk assessment framework;• Priority to higher risk sets of chambers or higher

risk areas through thematic reviews;• Supervision v enforcement – a focus on early,

constructive engagement rather than punishment;• Only persistent or very serious non-compliance

referred for enforcement.

Regulation of entities• BSB seeking approval to become a regulator of entities• Entity regulation rules (in draft) are included in the

Handbook for information (see strikethrough text)• New Handbook proposes new duties for managers of

entities and authorised persons who work in them (rules similar to those for self-employed barristers)

• Specific HOLP and HOFA duties• Additional detailed authorisation rules• We expect these to be approved by the Legal Services

Board in the New Year

Implementation

• Launch: 6 January 2014• Podcast coming soon• Webinar on 12 November

Handbook app

• This is a prototype• Available on PCs, tablets and smartphones • Improved search function • There will also be a print version available to

download • http://handbook.barstandardsboard.org.uk

Handbook app

• Features still in development • Filter your search according to practice type• Print button• Frequently asked questions• Email bsbcontactus@barstandardsboard.org.uk with

your suggestions and improvements