What Was the Recent Ruling Against the SRA?
On 21 September 2026, the High Court handed down judgment in Carter-Ruck Solicitors & another v Solicitors Regulation Authority,. Mr Justice Butcher ruled that the SRA cannot use section 44B of the Solicitors Act 1974 to compel solicitors to produce documents or information covered by a client’s unwaived legal professional privilege.
The regulator has used section 44B for many years, and without legal challenge, to obtain privileged material from regulated persons during investigations. That practice has now been declared unlawful where the client has not waived privilege.
The case arose from an SRA investigation that began in September 2023 into the conduct of Carter-Ruck while acting for businessman Mohamed Amersi. The SRA issued three production notices under section 44B, requiring documents from Amersi’s client files. Carter-Ruck and Amersi objected that some of the material was privileged and that privilege had not been waived, and they sought a declaration from the High Court on whether the SRA had the statutory power to demand it.
The court held that section 44B does not permit the SRA to require production of documents subject to a client’s unwaived privilege. At best, the section’s terms are equivocal, and that falls well short of the “compellingly clear” wording needed to override a fundamental right.
Source: High Court rules SRA cannot demand documents
What This Means in Practice
The ruling is significant for two reasons.
First, firms that receive a section 44B notice will now need to review the file carefully, identify anything genuinely privileged (as distinct from merely confidential), and take instructions from the client on whether to waive privilege. That was always good practice. It is now a confirmed legal requirement.
Second, the SRA has stated that it respectfully disagrees with the decision and is seeking permission to appeal. Until that appeal is heard, or the ruling stands, the position as stated by the High Court applies. The SRA is issuing new guidance to its staff working on affected investigations. In a published statement, the regulator said,
“This case raises complex and important questions about how we have, for many years and without legal challenge, used our powers under section 44B of the Solicitors Act 1974 to obtain information relevant to our investigations.
“We respectfully disagree with the court’s decision, and given the significance of the issues involved, are seeking permission to appeal.
“In the meantime, we are considering the judgment carefully and are taking immediate steps to manage its operational implications, including providing guidance to our staff regarding the handling of ongoing cases.”
Read the full statement here: https://www.sra.org.uk/news/news/ruling-statement/
For firms currently subject to an SRA investigation, or those that may receive a production notice in the coming months, this is a development worth understanding properly. The distinction between privileged and confidential material is not always straightforward, and how a firm responds to a section 44B notice now carries different consequences than it did before 21 September.
If You Are Unsure, Speak to Us
The ruling does not change a firm’s obligation to cooperate with the SRA, and it does not make privileged material permanently beyond the regulator’s reach, as clients can choose to waive privilege at any time. What it does change is the firm’s position when privilege has not been waived.
If your firm is dealing with an SRA enquiry or investigation, or if you receive a production notice and are unsure how to respond in light of this ruling, our SRA Regulatory Defence and Disciplinary Support team can advise. We also support firms with SRA Enquiries and Investigations, Self-Reporting, and Regulatory Settlement Agreements.
We will continue to monitor the SRA’s appeal and provide further guidance as the position develops.
Speak to Our Compliance Team
To discuss how this ruling affects your firm, or any current or prospective SRA investigation, please call us on 0203 985 8550, complete the online enquiry form, or email us info@regulationandcomplianceoffice.co.uk
