Solicitors Disciplinary
Tribunal Support Services
Facing the Solicitors Disciplinary Tribunal (SDT) is a daunting prospect that can have severe consequences.
The SDT will intervene in cases of serious regulatory breaches when sanctions that can be imposed by the Solicitors Regulation Authority (SRA) are not considered sufficient to address the breach that has occurred. The SRA (currently) cannot issue fines above £25,000 – except for Alternative Business Structures and does not have the authority to suspend or strike off a solicitor. For fines exceeding £25,000 or sanctions including suspension or strike-off, these actions must be carried out by the SDT. However, the SRA has been petitioning for authority to remove its fining ceiling limit to allow them unlimited fining ability.
The main stages of a Solicitors Disciplinary Tribunal are as follows:
Stage 1
An Enquiry or Investigation is the first step where the SRA will collate evidence and take statements. At this stage, you should involve our specialists at Regulation and Compliance Office. Although this is the first step in the process, it is the critical stage.
Stage 2
The second stage in engaging with the Solicitors Disciplinary Tribunal (SDT) is receiving a notice of referral to the SDT. A referral notice indicates that the SRA has determined the breach is serious enough to warrant referral to the SDT, and they cannot address the issue themselves. This notice represents your final opportunity to address the matter and potentially prevent a referral to the SDT.
Stage 3
If the SRA decide to proceed, the next stages will be the likely publication of the referral and then service of regulatory proceedings by the SRA’s appointed Solicitor.
Stage 4
Following this, the next stage will be the procedural process, which will end with either:
- An Agreed Outcome (which still requires approval of the SDT).
- A Hearing.
Dealing with a referral to the SDT is a specialist area, and the consequences of getting the approach wrong can be severe. It is essential that RACO is engaged as early as possible, preferably before the SRA decides to refer to the SDT. – see our service: SRA Self Reports, Enquiries & Investigations.
The earlier in the process that you seek the guidance of our experts – who possess unique insight and expertise in SDT matters – the better advised and prepared you will be.
SRA and SDT proceedings are expensive. Not only will you need to address the action that the SRA/SDT impose, which often involves a fine, but costs associated with the investigation and hearing will follow a successful prosecution, which can and will be significant. The approach to minimise financial impact is largely out of a firm’s control, but avoiding these fees from escalating is possible.
For support regarding a notice of referral to the SDT or an SRA Enquiry or Investigation, contact our team as soon as possible on 0203 985 8550.
Solicitor Disciplinary Tribunal Support
An investigation into a firm and its conduct is a serious and worrying time, and the referral to the Solicitors Disciplinary Tribunal will intensify the issues that arise for both the individuals involved and the firm.
The SRA will apply a number of tests through an investigation to establish if a referral to the Solicitor’s Disciplinary Tribunal is necessary. For example:
- Does the conduct breach the Standards and Regulations or meet the requirements for a control order?
- Does the evidence prove the conduct?
- Is the conduct serious enough for the Tribunal to make an order?
- Is the taking of action in the best interests of the Public?
If you have received a notice of investigation, The SRA has arrived at your premises, or you have been referred to the Solicitors Disciplinary Tribunal, you should contact us immediately on 0203 985 8550 and we will guide you on the initial steps to take.
The role of the Solicitors Disciplinary Tribunal is to assess the allegations of the SRA that they have uncovered in an investigation and make a decision if:
- There is no case to answer and no action to be taken
- The Solicitor should be prevented from practising through suspension or strike-off
- If a fine should be imposed and the amount, which is unlimited
- Whether there should be restrictions imposed on a Solicitor’s practising certificate
- Restoring a Solicitor to the Roll
- Payment of costs of the investigation and hearing
The process by which the Tribunal operates is similar in nature to formal court proceedings and hearings. The process will involve the serving of the allegation, reasons for denial, disclosure and discovery, and a hearing. The Tribunal will give orders and directions to control the parties’ conduct throughout the process.
These are formal proceedings, and gaining support to guide you through the process and ensure the matter is conducted correctly is essential.
Agreed Outcomes
It may also occur through the proceedings that the SDT and the respondent find a solution to resolve the issues without proceeding to a formal hearing. This is known as an ‘Agreed Outcome’ and is possible any time before a formal hearing.
An Agreed Outcome is a formal agreement that resolves all matters but still requires approval from the SDT panel. However, the SRA must agree to the terms before the panel hears the Agreed Outcome.
Agreed outcomes are typically reserved for matters with early admissions and concessions, and the facts are not in dispute.
All negotiations will be without prejudice, and if unsuccessful, the Disciplinary proceedings will proceed.
SDT Hearings
At RACO, we will guide you through the whole disciplinary and hearing journey, but we do not perform advocacy. At the appropriate stage, we will engage Counsel to work with us and ensure you are fully represented at any disciplinary hearing.
Due to the costs involved, we will aim to resolve issues early and seek an Agreed Outcome, if possible, thereby avoiding a full hearing.
Try and avoid a hearing by resolving the issues at an earlier stage and obtaining an Agreed Outcome if possible.
To contact us about an SRA self-report, SRA enquiry, investigation or SRA prosecution, please contact us on 0203 985 8550 or email us info@regulationandcomplianceoffice.co.uk.
Find out more about our services below.
Free Initial Enquiry
An initial enquiry is free and without obligation. We will provide you with a clear estimate of the expected costs so you will be fully aware of our services and support fees. We will time record our work and ensure you are fully updated at every step. We appreciate that costs will be a concern and will aim to minimise them wherever possible.
Contact Our Team
To ask any questions about the Regulation and Compliance Office and how we can support your Law Firm, please call us on 0203 985 8550, complete the online enquiry form below, or email us info@regulationandcomplianceoffice.co.uk