SRA Enquiries & Investigations
Specialist Guidance & Representation Throughout SRA Investigations and Regulatory Proceedings
Receiving an enquiry from the Solicitors Regulation Authority (SRA) can be one of the most challenging situations a law firm or individual solicitor will face. Whether you are considering making a self-report, responding to an investigation or preparing for proceedings before the Solicitors Disciplinary Tribunal (SDT), early specialist advice can make a significant difference.
At RACO, we provide practical, strategic support at every stage of the regulatory process. Our experienced team works alongside firms and individuals to help manage investigations, prepare measured responses and navigate what is often a complex and stressful situation with confidence.
Need urgent advice?
If you have been contacted by the SRA and require immediate guidance, contact our SRA Investigation Response Helpline today.
Urgent Helpline
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SRA Investigation Support for Law Firms
SRA investigations are rarely straightforward. They require careful consideration of the issues, a clear understanding of the evidence and a measured strategy for engaging with the regulator.
At RACO, we have extensive experience supporting firms and individuals throughout SRA enquiries, investigations and disciplinary proceedings. We understand the Standards and Regulations, how they are applied in practice and the importance of responding appropriately at every stage.
Whether your matter begins with an internal investigation, a self-report, an enquiry from the SRA or proceedings before the Solicitors Disciplinary Tribunal, we work alongside you to understand the issues, assess the available evidence and help develop a practical strategy based on the circumstances of your case.
Our objective is simple: to help you achieve the best outcome possible whilst supporting you throughout the regulatory process.
Why Early Advice Matters
The actions taken immediately following a potential breach can have a significant impact on how a matter develops.
Early specialist advice helps ensure:
- Responses to the SRA are accurate, measured and supported by appropriate evidence.
- Potential breaches are properly assessed before decisions are made.
- Self-reports are considered strategically where appropriate.
- Evidence is reviewed and preserved from the outset.
- Appropriate remedial action is identified and implemented.
- Regulatory engagement is managed consistently throughout the investigation.
Every investigation is different, and outcomes will always depend on the facts of the matter. However, engaging experienced regulatory advisers at the earliest opportunity often provides firms with greater clarity, stronger preparation and a more structured approach to managing the investigation.
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Download the Full Service Brochure
For more information and costings
How We Support You
Our support is tailored to the stage your matter has reached.
Considering a Self-Report
If your firm is considering whether a matter should be reported to the SRA, we can help assess the circumstances, review the available evidence and advise on the most appropriate course of action.
Responding to an SRA Enquiry
Where the SRA has requested information or opened an enquiry, we work with you to understand the issues, prepare appropriate responses and provide supporting documentation where required.
During an Investigation
Throughout the investigation, we continue to provide practical advice, assist with communications and help ensure engagement with the regulator remains measured, proportionate and focused.
Solicitors Disciplinary Tribunal (SDT)
Where matters progress to the Solicitors Disciplinary Tribunal, we continue supporting firms and individuals throughout the process, helping prepare the case and providing ongoing strategic guidance.
It does not matter what stage of the process you instruct us. We are ready to support you whenever specialist advice is needed.
Our Approach
No two investigations are the same, which is why we never adopt a generic approach.
We work closely with every client to understand the facts, analyse the available evidence and develop a strategy that reflects the circumstances of the case. Where appropriate, this may include considering early admissions, implementing remedial action or supporting improvements to systems and controls alongside the investigation.
Throughout the process, we provide straightforward, honest and practical advice. We recognise that regulatory investigations can be lengthy, stressful and uncertain, but with the right guidance they can be managed in a structured and controlled way.
Our role is not simply to respond to the SRA, but to help firms understand the issues they face, prepare for each stage of the investigation and make informed decisions throughout the process.
When Should You Contact Us?
We recommend seeking specialist advice as early as possible.
Contact us if:
- You are considering making a self-report to the SRA.
- The SRA has contacted your firm.
- You have received a request for information.
- An investigation has been opened.
- You require assistance responding to allegations.
- Your matter has been referred to the Solicitors Disciplinary Tribunal.
- You simply need independent advice before taking the next step.
Early engagement often provides greater opportunity to understand the issues, develop an appropriate strategy and manage the investigation effectively.
Download the Full Service Brochure
For more information and costings
Why firms choose RACO
Extensive Regulatory Experience...
…supporting firms and individuals through SRA enquiries, investigations and disciplinary proceedings.
Prevention & Defence
Our expertise extends beyond investigations. We work with law firms every day to prevent regulatory issues as well as helping manage them when they arise.
Responsive When It Matters
We recognise the urgency of regulatory investigations and respond quickly, providing support when firms need it most.
Honest & Practical Advice
We provide straightforward, realistic guidance based on the facts of each case, helping clients make informed decisions throughout the investigation.
Front-Line Industry Knowledge
Working exclusively within the legal sector gives us a detailed understanding of the SRA Standards and Regulations and their practical application.
Looking to Strengthen Your Compliance Framework?
Discover our SRA Compliance Essentials and Risk & Compliance Management Services
Many investigations arise from weaknesses in systems, controls or governance arrangements. Alongside our defence services, we help firms strengthen their compliance framework through our SRA Compliance Essentials and Risk & Compliance Management services.
By implementing robust policies, controls, procedures and ongoing compliance support, firms can reduce regulatory risk and demonstrate a proactive approach to compliance.
SRA Compliance Essentials
Risk & Compliance Management
Speak to Our SRA Investigation Team
If your firm or an individual within your firm has been contacted by the SRA, is considering making a self-report or requires support with an ongoing investigation, our experienced team is ready to help.
Every matter is different, but early specialist advice can help you make informed decisions, manage regulatory engagement effectively and navigate the process with confidence.
Request Immediate Support
SRA Investigation Response Helpline
Call 0203 947 3690 if your matter is urgent or you have been notified of an investigation.
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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