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.
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.
For more information about our SRA Investigations Service you can call us on 0203 911 9710 or you can email us at firstname.lastname@example.org.
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:
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
Firm and File Audits
New Law Firm and ABS Applications
Compliance Management Service
Compliance Administration Service
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
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.