Solicitors Regulation Authority Investigations
Representation and advice for solicitors facing a Solicitors Regulation Authority investigation or Solicitors Disciplinary Tribunal proceedings
An investigation by the Solicitors Regulation Authority (SRA) or a hearing at a Solicitors Disciplinary Tribunal (SDT) is not something any solicitor can afford to take lightly. Independent expert advice at an early stage can make all the difference and can help ease some of the pressure at a difficult time.
What powers does the Solicitors Regulation Authority have?
The SRA has a wide range of powers. An SRA investigation will typically result in one of the following outcomes (in order of seriousness):-
- A ‘casework decision’ (where there is no formal adjudication)
- A letter of advice
- A finding and warning
- A rebuke
- A financial penalty (presently up to £2,000)
- A referral to the Solicitors Disciplinary Tribunal)
A referral to the Solicitors Disciplinary Tribunal should only be made by the SRA if it is satisfied that both an evidential and public interest test is met.
What is a Solicitors Disciplinary Tribunal?
If a referral is made to the SDT then disciplinary proceedings will follow. If the SRA establishes its case before the SDT, then the SDT can make a range of orders, including that the solicitor:-
- Be struck off
- Be suspended
- Pay an unlimited fine
- Pay the costs of the tribunal
How we can help?
We offer a bespoke service to solicitor clients. In particular, we can assist with the following:-
- Advice and/or representation in relation to a solicitors tribunal
- Defence for SRA investigations
- Where appropriate preparing written representations that no (or a limited) sanction be imposed
- Appealing any decision of the SRA
- Making submissions that the SRA reconsider a decision
- Negotiating agreements with the SRA
- Representation in SDT proceedings, including the instruction of specialist counsel
- Appealing a decisions of the SDT to the High Court
- Making applications for an individual to be restored to the roll of solicitors
- We are also able to assist and advise prospective solicitors and trainee solicitors in relation to applications and issues of character and suitability.
If you are facing an investigation or tribunal that may affect your ability to continue to practise law, we can help you. We offer fixed-fee preliminary consultations, during which we will advise on the best way to proceed to lessen the impact of legal action. A consultation will help you understand the legal and practical issues relating to your case and allow you to make an informed decision about what action to take.