SRA Investigations
Receiving an enquiry from the Solicitors Regulation Authority or an investigation being commenced into the conflict of a firm or an individual within a firm is a worrying and unsettling time for any law firm or individual.
In the event a firm believes there has been a breach of the codes of conduct or SRA accounts rules, a decision needs to be made on whether to report the breach to the SRA. That may sometimes need an independent assessment to guide the firm on the best course of action to take.
If a firm is notified of an enquiry or investigation it is essential to fully understand the issues and to ensure that full cooperation is given to address the issues that have arisen or to explain and defend allegations that may be unfounded. Regardless of whether there has been a breach or not, the action a firm takes will be important to the final outcome and engaging with an expert to assist can make a significant difference to the outcome.
Our immediate focus is to work with firms to ensure they are compliant and therefore avoid investigations but that is not always possible. For immediate advice call our SRA Investigation Response Helpline for guidance on 020 3947 3699.
Find Out More
We work with firms to avoid SRA investigations, wherever possible, through our Risk, Regulation and Compliance including AML Service through provision of a compliant structure. You can also download our Risk, Regulation and Compliance including AML Service Brochure by clicking on the link below or you can call us to discuss on 0203 911 9710 or you can email us at info@thestrategicpartner.co.uk.
SRA Investigations – The Detail
If you have been contacted by the Solicitors Regulation Authority (SRA) to advise of an enquiry or investigation you should contact our SRA Investigation Response Helpline for immediate guidance on 020 3947 3699. Calling us will enable quick and decisive action to be taken.
Being investigated by the 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.
At The Strategic Partner we offer support to law firms and their staff at the commencement and throughout any investigation by the SRA. We will work with you to understand the issue and guide you on the best course of action to take.
The gaining of an independent experts advice can prove invaluable in a firm or individual making the right decision to either acknowledge and accept a breach or to successfully defend incorrect allegations.
Whatever path you choose to take, we will provide you with our views and experience to ensure, where possible, the firm and individuals involved are protected and the conclusion of an investigation is the correct one given the circumstances.
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 can be unwittingly breached (although this is not a defence).
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.
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 recommend, if you have been contacted by the SRA and the matter is urgent that you contact our SRA Investigation Response Helpline for immediate guidance on 02039473699.
Enquiries
If you require guidance or support due to an SRA investigation, you can call us on 0203 911 9710 email us info@thestrategicpartner.co.uk or make an online enquiry.