What to Expect When Facing SRA Investigations and Disciplinary Proceedings

No solicitor or firm wants to be the subject of an enquiry from the Solicitors Regulation Authority (SRA) or face a hearing before the Solicitors Disciplinary Tribunal (SDT). However, with increasing scrutiny from the regulators, these situations are becoming more common.

When they do arise, an enquiry or investigation can present significant challenges for law firms and individuals and result in serious consequences, both professionally and personally.

Whether the matter begins with an internal investigation, has been initiated by the SRA, or has already been referred to the SDT, at the Regulation and Compliance Office (RACO), we will be ready to support any firm or individual, no matter at what stage of the process we are instructed.

Our aim is always to provide calm, clear and practical support, but our services are designed to help prevent these matters from reaching that point in the first place.

In a follow-up to our previous article, ‘Navigating SRA Enquiries and Investigations’, we look at the recent increase in SRA investigations and SDT cases, as well as the SRA’s preference for publication over privacy.

The SRA Does Not Like to Do Things in Secret

One of the key aspects of a decision following an investigation or tribunal is the amount of information the SRA and SDT choose to publish. If you or your firm is under investigation or facing a tribunal, it might not remain a private matter.

The SRA publishes disciplinary decisions as a matter of routine, and the most recently published regulatory decisions are available on the SRA website at https://www.sra.org.uk/consumers/solicitor-check/recent-decisions/. The SDT, meanwhile, will also publish its latest judgments and recent cases, providing detailed reasons and findings on facts surrounding the case: https://solicitorstribunal.org.uk/judgments/.

The rationale for publishing is not to punish or humiliate but to provide transparency, uphold public confidence, and protect the profession’s reputation. This approach is supported by the courts, as highlighted by a recent case. A solicitor who was struck off requested that their identity be withheld, but the Court of Appeal dismissed this request. Transparency, the court said, remains essential to maintaining trust in the profession. You can read the full story in the Law Gazette here: Struck-off solicitor’s anonymity attempts in appeal are dismissed.

Over the last few months, the industry has seen an increase in anonymity applications, particularly in serious misconduct cases being handled by the SRA and SDT. While a decision to grant anonymity is considered in some cases, it would only be in exceptional circumstances. Read more about this in Legal Futures here: Sexual misconduct cases “lead to rise in SDT anonymity requests”.

The SRA confirms that there are several factors that determine whether it will publish a decision, including:

• Why the decision was made.
• The type of decision.
• If it is in the public interest to publish it.

To read more about the regulator’s approach to publishing its decisions, see: guidance on publishing regulatory and disciplinary decisions.

Support and Defence from Experts Who Understand the Pressure

At RACO, our regulatory defence and disciplinary support consultants understand what is at stake personally and professionally if you or your firm is facing an investigation by the SRA.

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.

We provide tailored services that deal with the following:

• SRA Enquiries
• Self-Reporting – including for the SRA, ICO, CLC, CILEX
• Solicitor Disciplinary Tribunal Support
• Regulatory Settlement Agreements
• Agreed Outcomes – Statements and Judgments

Regardless of the reason for engagement with the regulator, RACO has helped support multiple law firms and individuals in addressing and overcoming issues.

Conclusion – Prevention is Better Than Cure

While we are there to provide guidance and support when things go wrong, much of our work is focused on helping firms avoid issues in the first place.

At RACO, 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

If The SRA Has Contacted You, Talk to Us

Whether you are at the beginning of an internal investigation, responding to an investigation initiated by the SRA, or dealing with a matter that has already been referred to the SDT, RACO is available to support any firm or individual.

The appointment of an independent party often results in quicker resolutions. At RACO, our regulatory defence specialists are ready to assist at any stage of the process.

If you have already been notified of an investigation, please contact us today on our emergency line at 0203 947 3690, and we can offer immediate guidance and support on the next steps.