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SRA Investigations

Being investigated by the Solicitors Regulation Authority (SRA) is a very worrying time for law firms, their owners and staff and it is not always immediately apparent why an investigation has commenced. Most investigations will commence as the SRA has received a complaint or report of a breach of the Standards and Regulations and/or information has been provided which could give rise to a breach or potential breach.

The codes of conduct are themselves far reaching as are the Principles by which the SRA expects firms, Solicitors, Registered European Lawyers and Registered Foreign Lawyers to abide by. A breach whether innocent, deliberate or through a lack of understanding is likely to result in an investigation and dealing with that investigation is likely to be a time consuming and expensive process.

Find out more

For more information about our Compliance Services you can call us on 0203 911 9710 or you can email us at info@thestrategicpartner.co.uk. You can also download our Compliance & Regulation services brochure by clicking on the link below.

Our Expertise

At The Strategic Partner, our immediate focus is to work with firms to ensure they are compliant and therefore avoid investigations but that is not always possible.

Our SRA Investigations Services

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.

In the event an investigation is progressed into a disciplinary issue, we have a panel of experts that can defend the firm and its staff, as required, at the Solicitors Disciplinary Tribunal.

Some useful links to help understand an SRA investigation and the process are as follows:

https://www.sra.org.uk/sra/decision-making/guidance/investigations-decisions-investigate-concerns/

https://www.sra.org.uk/consumers/problems/report-solicitor/investigating-concerns/

https://www.sra.org.uk/solicitors/enforcement/intervention-tribunal/solicitors-disciplinary-tribunal/

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

For further details on each of the other compliance services we provide please click on the links below:

Codes of Conduct inc COLP & COFA   

Anti-Money Laundering 

Firm and File Audits

New Law Firm and ABS Applications 

Risk Management 

Complaint Management

Compliance Management Service

Compliance Administration Service   

SRA Investigations

Professional Indemnity & Renewals

Office Manual (inc quality kitemarks)

Drafting and Documents

Training and Development

Partnership & Shareholder Agreements

Succession & Exit

Closure of a Law Firm

Data Protection & GDPR

Enquiries

For more information about our Regulation and Compliance service you can call us on 0203 911 9710 or you can email us at info@thestrategicpartner.co.uk.

Let's talk about how we can help

Get in touch - call us on 0203 911 9710 or complete the form.
Tell us what you need or ask us a question, we'd love to discuss your business.

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