SRA Investigations and SDT Proceedings

The SRA regulates solicitors by imposing standards and regulations.  These were most recently updated on 25 November 2019. The standards and regulations include seven Principles and separate Codes of Conduct for solicitors and solicitors’ firms. There are also other rules and regulations including the Solicitors Accounts Rules. The SRA is responsible for enforcing those regulations.

If the SRA has received a complaint about you then it is likely to write to you to notify you that it has received a complaint which it is investigating. It will inform you that you are likely to hear again in due course. Sometimes it can take months for subsequent correspondence to arrive. If the matter is more complicated, or the SRA requires further information, then it may formally request the disclosure of material or information by the service of a Notice under section 44B Solicitors Act 1974 (see our blog here).

If the SRA has concerns over the protection of client interests or money, and if the statutory grounds under Schedule 1 Solicitors Act 1974 are engaged, it may intervene into a solicitors practice. Grounds include where the SRA suspect dishonesty, bankruptcy, death, criminal conviction or incapacity. It may also intervene where there have been breaches of the Solicitors Accounts Rules. The SRA has wide-ranging powers on intervention which are detailed in Schedule 1 above.

If the SRA has opened an investigation then once it has formulated allegations, it may ask for further information. Once the investigation is concluded it will issue a ‘Notice’ with a provisional recommendation regarding its decision. You must be given an appropriate amount of time to respond to the letter depending on the complexity of the allegations being made, and always at least 14 days. It is important that you engage with this provisional decision (and ideally take specialist legal advice beforehand). If you are unable to respond on time then you or your representatives should let the SRA know and ask for an extension within the time limit set. There may be subsequent correspondence before a decision is made.

It is possible to reach agreement with the SRA by making admissions and agreeing a penalty. Such agreements are known as ‘Regulatory Settlement Agreements’ and will usually be entered into as an alternative to referral to the SDT.

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. Only the most serious (or complex) cases, where the SRA considers that its internal powers are insufficient, are referred to the SDT.

If the SRA decides to refer a case to the SDT, it will prepare ‘a Rule 12 statement’ detailing the allegations and the factual basis upon which they are made. The Rule 12 statement will be accompanied by an exhibit which attaches the evidence upon which the SRA relies. A Panel Member of the SDT will then decide whether there is a case to answer. If the SDT decides there is a case to answer, it will serve the Rule 12 statement and supporting evidence on the Respondent Solicitor or Firm with standard directions.

Those directions will include a requirement by the Respondent to file and serve an Answer to the allegations and it is likely to fix a case management hearing. If the matter is contested it will be set down for a final hearing and the Respondent will file and serve the evidence upon which he/she wishes to rely in response. There is an obligation on the SRA to make disclosure of material that undermines its case although this issue is complicated.

The matter proceeds to hearing before a Panel of three members. Each Panel will usually consist of two professional solicitor members and one Lay member. The burden is on the SRA to prove its case to the civil standard ‘on a balance of probabilities’ (this was recently lowered from the criminal standard). After the hearing, the Panel will give judgment and if it finds any matter proven proceed to the imposition of a penalty and costs. The range of penalties available to the SDT are to order that a solicitor:

• Be struck off the Roll;
• Be suspended from practice indefinitely or for a limited period;
• Be subject of restrictions on practice;
• Pay an unlimited fine;
• Pay the costs of the SRA prosecution.

If the SRA makes a decision, including a decision to enter into a Regulatory Settlement Agreement, or to refer a case to the SDT, then it will usually publish this decision on its website. It has a policy regarding publication (available on its website) and it will write to you in advance confirming the text it intends to publish and invite submissions.

SDT proceedings will be held in public unless the Respondent is able to persuade it to depart from the overriding principle of ‘open justice’.

SRA v T [2025] – successful revocation of section 43 Order permitting now qualified solicitor to practise without conditions.

SRA v SX [2025] – sexual misconduct allegations discontinued following submissions on preliminary decision.

SRA v C [2025] – sexual misconduct investigation by SRA discontinued following submissions.

SRA v G [2025]- SRA investigation into alleged misconduct from conduct of internal investigation discontinued following submissions.

SRA v S [2025] – SRA Investigation into alleged misconduct through commercial transactions discontinued.

SRA v F [2025] – fine imposed on solicitor following negotiated admissions.

SRA v JH [2024] – successful application for Restoration to the Roll after more than 20 years.

SRA v P [2024] – strike off avoided in dishonesty case where suspension of 12 months imposed instead.

SRA v D [2024] – SRA investigation into sexual misconduct allegation discontinued.

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