A recent Solicitors Disciplinary Tribunal (SDT) ruling is likely to raise a few eyebrows across the profession, and not without reason. The case of Shafiq-ul Hassan (Case 12567) saw the tribunal accept that a solicitor who knowingly lied during a meeting had done so to protect a client who was facing extreme pressure from third parties. As a result, instead of being struck off (the usual outcome if found to have been dishonest), he received a financial penalty and a two-year suspension.

While the headline could prompt debate, the case is more complex, and the SDT itself was clear. The decision should not be read as a signal that dishonesty in the course of protecting a client is acceptable. It is not. The circumstances of this case were, in the tribunal’s own words, narrowly confined.

In this article, our compliance team sets out the key points of the case, the outcome, and what solicitors and compliance offices need to understand from it.

What Does the Case Involve?

Shafiq-ul Hassan, a Cardiff-based solicitor who qualified in 2005, had been acting for Client A on a property matter beginning in 2013, in a second matter at a later date, but stopped acting for them in May 2019 after Client A withdrew his instructions. Around the time, a meeting took place between Mr Hassan, the client, and two of the client’s associates. Unknown to Mr Hassan, the meeting was secretly recorded.  

That recording was later used in county court proceedings after Mr Hassan pursued the client for unpaid fees. A transcript suggested that Mr Hassan had made false statements about property ownership and discussed with Client A the possibility of seeking a tribunal adjournment using false documentation.

The county court judge was not persuaded by Mr Hassan’s explanation and referred the matter to the Solicitors Regulation Authority (SRA). Client A’s new solicitor also reported it to the SRA.

The allegation, which was then referred to the SDT, involved breaches of Code of Conduct 2011, Code of Conduct for Solicitors, REL’s & RFL’s 2019, SRA Principles 2011, and SRA Principles 2019.  

Why Did the SDT Accept His Explanation?

When the case reached the SDT, they key issue was motivation. The tribunal accepted Mr Hassan’s evidence that his client was under intense pressure from the individuals present at the meeting. While in the wrong, the tribunal found that his intention was to deflect that pressure and protect his client.

Although the SDT described is motivation as “laudable” it was entirely clear that the conduct itself was not and still amounted to misconduct. The statements were deliberate misrepresentations and fell below the standards of honesty and integrity expected of the profession.

The Outcome

Despite finding dishonesty, the tribunal considered the circumstances exceptional, mainly because there was no personal gain and the motive was client protection.

Instead of striking him off, which would be the expected outcome in most dishonesty cases, the SDT instead imposed a two-year suspension and ordered Mr Hassan to pay £37,500 in costs. Crucially, the tribunal stressed that the decision was highly fact-specific and should not be seen as creating a broader precedent for leniency.

“The tribunal in making its decision recognised and emphasised that the exceptional circumstances were narrowly confined to the facts of the case and should not be read as creating a wider precedent for leniency.” — Solicitors Disciplinary Tribunal, Case 12567.

You can also read more about the case here: Legal Futures – Solicitor who lied in meeting “was protecting client”.

What The Case Makes Clear

The ruling by the SDT is not creating a general defence of ‘client protection by deception’, and it would be a serious mistake to draw a broad assumption of tolerance from this ruling. The SDT was not saying that lying to protect a client can, even in extreme circumstances, justifies a reduced sanction. It made it clear that the very specific combination of factors in this case, including the absence of any personal benefit to the solicitor, produced an outcome that was exceptional and confined to these facts alone.

The SRA’s Code of Conduct requires solicitors to act with integrity, be honest with clients, the court, and third parties, and not to mislead others. These obligations are not contingent on motive.

The fact that the SDT accepted Mr Hassan’s account, and that his motivation was genuine, should not obscure the fact that he still faces a two-year suspension, a costs order of £37,500, and the end of the practice he ran. The personal and professional consequences were severe.

What This Case Highlights for Firms and Compliance Officers

When cases of this nature come to light, it raises important questions about how solicitors, including those in sole practice or smaller firms, are equipped to handle difficult situations. The pressures of client loyalty, commercial relationships, and in-person confrontation can place law firms and solicitors in genuinely difficult positions. Without clear policies, controls and procedures (PCPs), adequate training, and accessible support, the risk of making poor decisions under pressure increases.

Firms should consider whether their PCPs, staff training, and understanding, adequately address:

• How to handle situations of third-party pressure, coercion, or intimidation in client matters
• The obligations of honesty and integrity under their regulator, including SRA Standards and Regulations
• When and how to seek regulatory guidance before acting in an unusual situation
• The importance of recording of file notes, particularly in contentious or sensitive matters
• The correct steps to take when a client attempts to direct a solicitor towards conduct that would breach professional obligations

How RACO Can Support Your Firm

At the Regulation and Compliance Office (RACO), we work with law firms and sole practitioners across the UK to ensure that their compliance infrastructure, PCPs, and people are equipped to handle precisely these kinds of situations. Our support in this area includes:

• Regulatory Defence Services: If you or your firm is facing an SRA investigation, disciplinary proceedings, or an SDT hearing, our experienced regulatory defence team provides hands-on support from the onset. We have a proven track record of delivering honest, pragmatic advice and building strategies that ensure any breach is managed correctly and the engagement with the SRA is controlled and measured. Whilst we cannot guarantee an outcome, we can help to prepare the case, the firm, and the individual for any sanctions that may follow.
• Training and Education: We deliver practical, law-firm-specific training on professional conduct, honesty and integrity obligations, and how to respond appropriately in difficult or high-pressure client situations. Training can be delivered to fee earners, compliance officers, and firm management, and can be tailored to your firm’s practice area and risk profile.
• Compliance Helpline: RACO members have access to our dedicated compliance helpline, providing prompt, practical guidance when a difficult situation arises. In a profession where a poor decision made under pressure can have lasting, significant consequences, having access to experienced compliance support at short notice is not just a luxury, it’s a safeguard.  

Wider Compliance Support

Our compliance experts support hundreds of firms with ongoing compliance. That includes anti-money laundering (AML) processes, audits, risk assessments, staff training and systems reviews.

Our approach helps firms stay ahead of their regulatory obligations, reducing the risk of receiving unwanted attention from the SRA. Learn more about our full suite of compliance products, outsourced compliance management, and law firm consultancy services:

• Regulatory Compliance and Risk Management Services for Law Firms
• Due Diligence & Risk Assessment Services for Law Firms – Outsourced solution for Client Due Diligence and Risk Assessment
• Law Firm Management Consultancy
• Client Complaint Management Services

Get In Touch 

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, or email us info@regulationandcomplianceoffice.co.uk