Role of the Law Society
The Law Society of Northern Ireland is an independent professional body, which has the authority to discipline, educate and regulate practising solicitors in Northern Ireland.
Under the Solicitors (Northern Ireland) Order 1976, the Law Society acts as the regulatory authority governing the: education, accounts, discipline and professional conduct of solicitors in order to maintain the independence, ethical standards, professional competence and quality of services offered to the public.
It carries out these functions to ensure that solicitors receive the highest level of support and that their clients receive the required standard of work.
Since its establishment in 1922 under Royal Charter, the Law Society of Northern Ireland has proven to be an exemplar of legal professionalism and service delivery.
Undoubtedly its positive and contributory role has helped shape the legal system within Northern Ireland.
Fundamental to the success of the Law Society over the decades has been its ability to represent its membership on key issues, to advocate on their behalf and to regulate the profession when required.
Regulation of solicitors in Northern Ireland is a statutory and delegated function conferred on Law Society of Northern Ireland (principally) by the Solicitors' (NI) Order 1976, as amended by the Solicitors' (NI) (Amendment) Order 1989.
By virtue of this primary legislation, and secondary regulations made there under, the Law Society of Northern Ireland through its governing Council is responsible for regulating professional standards, the propriety of solicitor's professional conduct in general and the handling of client's funds in particular, professional indemnity insurance and client compensation requirements, as well as the handling of complaints about solicitors made by their clients.
The regulatory, disciplinary and compliance context within which the Law Society of Northern Ireland operates is not self-determined.
The main principles and parameters are in fact laid down by Parliament, and further reinforces that in Northern Ireland the public interest has informed and continues to be reflected in the governing primary legislation.
Lord Chief Justice of Northern Ireland (LCJ)
In the exercise of its functions the Law Society of Northern Ireland is subject in various ways to the oversight and supervision of the Lord Chief Justice of Northern Ireland (LCJ).
The LCJ acts in an appellate capacity for certain purposes, in the admission of solicitors to practice, and generally his concurrence is required before any Regulations approved by the Council can be implemented.
This structure of accountability reflects the position of solicitors as officers of the court and members of an independent profession within the justice system.
Solicitors Disciplinary Tribunal
Apart from the supervisory jurisdiction of the Lord Chief Justice, the Law Society of Northern Ireland is subject to a number of other "checks and balances".
As a matter of policy and statute, provision is made for independent lay members to participate in the consideration of clients' complaints.
In the more serious cases of professional misconduct, including breaches of the regulatory requirements prescribed by the Law Society of Northern Ireland, and of inadequate professional services to clients, itself does not adjudicate but refers the matter to the Solicitors Disciplinary Tribunal.
This body again established by statute, is independent of the Law Society of Northern Ireland.
It is comprised from a panel of senior solicitors and lay persons appointed by the Lord Chief Justice. Where the question of referral on to the Tribunal arises out of a client complaint, both the individual client and the Independent Lay Observer have a free-standing right to complain direct to the Tribunal.
Professional Indemnity Insurance
As an additional client protection measure, all solicitors in private practice are required to maintain Professional Indemnity Insurance at a level and to a specification prescribed by the Law Society of Northern Ireland.
This cover is a pre-condition to the ability to practice. The Law Society of Northern Ireland has successfully operated for many years a mutual form of Professional Indemnity Insurance (through a corporate Master Policy) which provides a guarantee of recovery to clients where loss has been suffered through the actions of solicitors.
This reflects positively the willingness of the profession in Northern Ireland to assume a collegiate approach to, and responsibility for, client protection.
On the same principle, the Law Society of Northern Ireland maintains by statutory authority a Compensation Fund. This Fund is uncapped, is maintained entirely by contributions from practising solicitors, and again is a prerequisite to the right to practice.
The Fund provides an additional guarantee to clients of recovery of losses incurred as a result of a solicitor's default [for example, because of insolvency] or otherwise than in circumstances covered by the Professional Indemnity Insurance arrangements.
Pro-active monitoring of solicitors' practices
In part because of the collegiate burden borne by the profession the Law Society of Northern Ireland has always attached a high priority to pro-active monitoring of solicitors' practices.
Thus, for example, solicitors' accounts are actively monitored by professional staff employed by the Law Society of Northern Ireland on a regular and precautionary basis, as well as in response to specific concerns identified by the Law Society of Northern Ireland in respect of particular practices.
That is, action by the Law Society of Northern Ireland is not dependent exclusively on a system of self-certified or audited accounts, but by detailed bookkeeping inspections and rigorous enforcement of the relevant regulations.
In respect of complaints-handling the performance of the Law Society of Northern Ireland is subject to review and comment by the independent Lay Observer (very broadly similar to the Legal Services Ombudsmen).
Apart from the casework function of reviewing the handling of particular cases by the Law Society of Northern Ireland, the Lay Observer makes recommendations periodically for improvement to procedures and other matters.
In terms of the effectiveness of the current regulation model, a series of Lay Observers have commended consistently the efficiency with which complaints are handled by the Law Society of Northern Ireland, and the degree of respect and seriousness with which the regulatory functions exercised by the Law Society of Northern Ireland are taken by the profession.
In both the framing of regulations within its delegated authority and the discharge of all these regulatory functions, the overriding principle applied by the Law Society of Northern Ireland is to regulate in the public interest.
The Law Society of Northern Ireland regulation carries with it a formidable and extensive range of client protections and practice requirements for which solicitors have taken corporate as well as individual responsibility, despite the fact that solicitors compete in an increasingly demanding professional environment.
Without prejudice to these important protective mechanisms, and within the context of the effective enforcement of rigorous regulatory and ethical standards, The Law Society of Northern Ireland seeks to promote positively both best commercial practice and management standards.