Regulatory Navigation ToolA quick reference guide for tech companies innovating in lawAccurate as at 21 May 2021

Only a small portion of legal services are regulated. This document provides you with

guidance on where to go.

This tool is to help those innovating in law to navigate the regulatory landscape and quickly see which activities require regulatory approval or exemption.

There are six categories of legal services that are ‘reserved activities’ under the Legal Services Act 2007. These activities can only be carried out by people who are authorised or exempt under the legislation:

These activities fall into two categories:

1. Those that must be carried out by an authorised person and cannot be delegated. The exercise of a right of audience, notarial activities and the administration of oaths fall within this category.

2. Those that can also be undertaken at the direction of or under supervision of an authorised person. The conduct of litigation, reserved instrument activities and probate activities fall within this category.

We hope this tool helps you quickly determine if any activity you are considering is regulated under legal services regulation

and if so by which regulators. If your activity is not listed as a reserved activity, it means it is not caught by the Legal Services Act 2007.

We have also included a few activities that are not ‘reserved’ activities, but that are common questions for tech companies in law, for example ownership of legal businesses. These activities are not exhaustive and may be iterated on based on user feedback. If your activity is caught, you can consider:

• Partnering with a regulated legal services provider.• Applying to become a regulated legal services provider with

one of the legal services regulators listed.• Adjusting your services and innovating with the regulation –

help can be found within the RRU and the Lawtech Sandbox, as well as directly with specific regulators.

Whether or not your activity is ‘reserved’, other regulations and best practice may apply, for example data protection legislation and sector specific regulations such as financial and immigration services, money laundering and insurance.

This tool is intended as a signposting tool and a general starting point to support your own research. This tool should not be taken as legal advice and cannot replace specific analysis of and consultation on your plans and circumstances.

If you have feedback, suggestions or discover inaccuracies, please do let us know.

Why a Regulatory Navigation Tool?

Not reserved

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Reserved activity Activity description in tool

Exercise of a right of audience Speaking and addressing a court

Conduct of litigation Preparing and filing court documents

Reserved instrument activities Transfer documents

Probate activities Probate / Confirmation

Notarial activities Authentication (of documents)

The administration of oaths Oaths (making sworn legal statements)

Regulatory Navigation Tool | a quick reference guide for tech companies innovating in law

Ownership of a legal services business

Fee sharing with regulated legal businesses

Referral fees

Data processing for a regulated business

Authentication

Oaths

Probate / Confirmation

Transfer documents

Contingency fees

Speaking and adressing a court (not tribunal)

Preparing and filing court documents (not tribunal)

Association of Commercial Attorneys

ICAEW Regulatory Board

Master of the Faculties

Council for Licensed Conveyancers

Faculty of Advocates

The Law Society of Scotland

Bar Council ofNorthern Ireland

The Law Society of Northern Ireland

Costs Lawyer Standards Board

Intellectual Property Regulation Board

CILEx Regulation

Bar Standard Board

Solicitors Regulation Authority

Regulatory Navigation Tool - click an activity for details

England & Wales Scotland Northern Ireland

‘Reserved’ Legal activity that only regulated individuals and businesses can deliver ‘Reserved instruments’ A technical term that relates primarily to conveyancing, you may need to take advice‘Professional body’ A body that represents the interests of lawyers of different types (will have strong link with a regulator or be a regulator)

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Regulatory Navigation Tool

LawtechUKLawtechUK is a government backed initiative supporting the transformation of the legal sector through technology, delivered through a collaboration between Tech Nation, the LawtechUK Panel and the Ministry of Justice. Find out more at technation.io/lawtechuk

RRUThe Regulatory Response Unit (RRU) was convened by LawtechUK alongside the Lawtech Sandbox. The RRU brings together relevant regulators into a single, fast response forum, to make it easy for lawtech pioneers pushing the boundaries in innovation, to navigate the rules and move forward quickly and with confidence. Regulatory Navigation ToolThis tool was developed by LawtechUK in collaboration with the Regulatory Response Unit. Special thanks go to Iain Miller at Kingsley Napley and Crispin Passmore for the pro bono support in producing this. We will continue to develop out this tool where needed, and would value your feedback. You can submit feedback or register your interest to receive updates, by emailing lawtechuk@technation.io.

Regulatory Navigation Tool | a quick reference guide for tech companies innovating in law 4