SRA Intervention Services
Typically, the SRA will appoint an intervention agent who will attend the premises of the firm with the core tasks of identifying: -
- urgent client matters requiring immediate attention,
- the accounts system used,
- practice monies,
- client papers,
- deeds and will stores,
- archived files.
The costs of an intervention will be borne by the firm. The SRA will approve each invoice submitted by the intervention agents and they will become a debt payable by the firm.
Gaining specialist advice in the event of an intervention or notice of intervention is essential and The Strategic Partner and our legal advisors will respond quickly in view of the seriousness of the situation and the time limits to take preventative action.
The practical effect of an intervention means that you lose control of your firm and you will be referred to the Solicitors Disciplinary Tribunal.
If you have received a notice of intervention you must contact us immediately on 0203 911 9710 and we will guide you on the initial steps to take.
If your firm expects or has received a notification of investigation or the SRA have arrived at the firm our team are available to assist you. We will work with you to understand what the issues are and help with the appropriate response to the SRA and their investigation team ensuring replies are measured and providing the appropriate documentary evidence.
Grounds for Intervention
The grounds for intervention by the SRA can be summarised as:
- The SRA is satisfied that it must intervene to protect the best interests of clients of the firm or beneficiaries of any trust of which the solicitor was or is a trustee
- They have reason to suspect dishonesty by a solicitor, employee or representative of a deceased solicitor
- There have been undue delays by a representative of a deceased solicitor
- The SRA considers that a solicitor has failed to comply with the prevailing rules (Codes of Conduct)
- A Solicitor has been made bankrupt or has made arrangements with creditors
- A Solicitor has been committed to prison
- A Sole Practitioner has become incapacitated and cannot run the firm
- A Solicitor lacks the mental capacity to act as a Solicitor (Sole Practitioner)
- A Solicitor has abandoned the firm (Sole Practitioner)
- A Solicitor has been struck off the role or has been suspended from Practice (Sole Practitioner)
- The SRA considers that a Solicitor has acted when he/she did not have a practising certificate.
- A Solicitor has failed to comply with any restrictions imposed on his/her practising certificate.
A number of these may only be appropriate to a Sole Practitioner but will certainly impact on a Partnership.
Contesting an Intervention
If you wish to content an intervention, your firm must act fast. You have 8 days from the intervention notice to make an application to the High Court for the intervention to be withdrawn.
You must also give written notice of your application to the intervention agent.
The application and the evidence required can be complex and it is recommended that an expert with the experience of managing such matters is used. Succeeding is difficult but not impossible and responding quickly is essential.
For more information about intervention or to discuss concerns you may have you can call us on 0203 911 9710, email us firstname.lastname@example.org or complete and online enquiry. If you have already received a notice of intervention, we would recommend you call us immediately rather than email.
We provide both packaged and individual solutions that directly add value into the firms we work with. You can download brochures on these services below:
Additional Compliance Services
Codes of Conduct
Specialist services designed for law firms, to assist with all areas of regulation, inc, COLP & COFA.
We will work with your firm to ensure it has a full understanding of the requirements of the AML and related legislation.
Firm and File Audits
We have the expertise to provide firm wide audits and regulation advice across all areas of the practice.
New Law Firm & ABS Applications
We assist individuals and firms with making new law firm and ABS applications for all structure types.
At The Strategic Partner we work with law firms to establish a robust risk management strategy that covers both insurer and regulatory obligations.
Our complaint management service provides firms with an effective outsource solution that enables complaints to be addressed quickly, with impartiality and resolved in the most effective manner..
Our services ensure that a firm’s compliance officers can achieve peace of mind knowing that the policies and procedures adopted by the firm ensure the firm is compliant and that it will stay compliant.
The Strategic Partners Compliance Administration Service was developed at the request of our member law firms.
If your firm expects or has received a notification of investigation or the SRA have arrived at the firm our team are available to assist you.
If your firm expects or has received a notification of investigation or the SRA have arrived at the firm our team are available to assist you
Solicitors Disciplinary Tribunal
Whether you have received notification of investigation or the investigation has been concluded and a referral to the Solicitors Disciplinary Tribunal has been made it is advisable to seek expert advice and guidance.
Professional Indemnity Renewal
We work with both the Insurers and law firms providing risk guidance and risk reviews that are used for the purpose of the insurers considering the risk and premiums and in more serious cases whether to offer renewal terms.
Office Procedures Manual
We work with firms to create and maintain their office manuals, including firms with or without Lexcel and other quality kitemarks such as CQS, WIQS and legal aid franchises.
Procedure & Documents Drafting
At the Strategic Partner we work with firms to ensure they have documentation that is bespoke to them and reflects what they do in practice.
Training & Development
The Strategic Partner have developed training which can be delivered to firms and their staff to ensure there is a full and thorough understanding of the issues that firms face when managing risk and compliance and what their role is.
Partnership & Shareholder Agreements
We can assist with drafting and agreeing new partnership and shareholder agreements, reviewing and renewing existing agreements and partner and director disputes.
Succession & Exit Plans
The Strategic Partner can work with firms to develop succession and exit plans that achieve the goals of the current partners, further develop training and mentoring of future the Partners.
Orderly Closure of Law Firms
The strategic Partner works with firms to ensure that closure is undertaken on an orderly basis and where that is simply not possible due to sudden or financial issues, we will work with the firm to minimise negative impact wherever possible.
Data Protection & GDPR
Due to the nature of how law firms operate, the management, control and protection of data is an essential element of a firm compliance and regulation strategy.
Our membership provides firms with a range of benefits, discounts, updates and interaction all focussed on bringing value to your firm.
For further details on each of the other compliance services we provide please click on the links below:
For more information about our Regulation and Compliance service you can call us on 0203 911
9710 or you can email us at email@example.com.