Solicitors Disciplinary Tribunal
Are you or your firm facing referral to the Solicitors Disciplinary Tribunal or has an investigation lead to a Regulatory Settlement Agreement negotiation?
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.
The earlier in the process that you seek the guidance of experts, the better advised and prepared you will be. At The Strategic Partner we work with and advise firms at the start of an investigation by the SRA or we can assist in representation at a Disciplinary Tribunal.
It is often better for us to be involved at the first intimation of an investigation as we will work with you to understand the reasons for the investigation, the facts and the best path to take.
An investigation into a firm and its conduct is a serious and worrying time and the referral to the Solicitors Disciplinary Tribunal will intensify the issues that arise for both the individuals involved and the firm.
The SRA will apply a number of tests through an investigation to establish if a referral to the Solicitors Disciplinary Tribunal is necessary. For example: -
- Does the conduct breach our Standards and Regulations or meet the requirements for a control order?
- Does the evidence prove the conduct?
- Is the conduct serious enough for the Tribunal to make an order?
- Is the taking of action in the vest interests of the Public
If you have received a notice of investigation, The SRA have arrived at your premises or you have been referred to the Solicitors Disciplinary Tribunal, you should contact us immediately on 0203 911 9710 and we will guide you on the initial steps to take.
The fundamental role of the Solicitors Disciplinary Tribunal is to assess the allegations of the SRA which they have uncovered in an investigation and make a decision if:
- There is no case to answer and no action to be taken
- The Solicitor should be prevented from practicing through suspension or strike off
- If a fine should be imposed and the amount, which is unlimited
- Whether there should be restrictions imposed on a Solicitor’s practicing certificate
- Restoring a Solicitor to the Roll
- Payment of costs of the investigation and hearing
Referrals to the Solicitors Disciplinary Tribunal can be made against
- Employees of law firms
- Registered European and foreign Lawyers
Therefore, anyone working with or for a law firm can be caught by the Tribunal.
The process by which the Tribunal operates is similar in nature to a formal court proceedings and hearings. The process will involve the serving of the allegation, reasons for denial, disclosure and discovery and a hearing. The Tribunal will give orders and directions to control the conduct of the parties throughout the process.
A Respondent to the allegations made must act in a timely manner and comply with all directions or risk adverse risks of the failure to comply. Working with an expert to guide you through the process and ensure the matter is properly conducted is essential.
It may also occur through the proceedings that the SRA and the respondent find a solution to resolve the issues without the need to proceed to a formal hearing. This is known as a Regulatory Settlement Agreement.
This is a formal written agreement between the SRA and the Respondent which resolves all matters. It is a quicker and less expensive method by which issues can be resolved. The agreement itself will set the allegations and facts surrounding them and identify which have been agreed to and list the agree sanctions which the solicitor has agreed to.
All negotiation will be without prejudice and if unsuccessful the Disciplinary proceedings will continue. At The Strategic Partner, together with our legal team, we will work with you and the SRA, if a Regulatory settlement Agreement is appropriate, to secure an agreement in the best possible terms.
For more information about intervention or to discuss concerns you may have you can call us on 02039119710, email us email@example.com or complete and online enquiry. If you have already received a notice of intervention, we would recommend you call us immediately rather than email.
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 firstname.lastname@example.org.