When should I instruct a solicitor in an SRA investigation?

The SRA Principles and SRA code of conduct comprise the fundamental tenets of ethical behaviour that Solicitors are expected to uphold. A solicitor must act in accordance with both the SRA principles and the code of conduct.

Failure to uphold these principles or code of conduct will result in an SRA investigation and possible referral to the Solicitors Disciplinary Tribunal.

Being under investigation by the SRA is an extremely stressful and daunting process. Clients often ask how and what the process looks like and when is the right time to instruct a solicitor.

Below is a summary of the SRA investigation process:

1. Report received by the SRA
2. The SRA writes to the Solicitor asking for representations in light of the report.
3. The SRA Investigate the concerns and may ask for further representations.
4. SRA sends out a notice suggesting one of the following outcomes: No further action, sanction within the SRA powers, recommending referral to the Solicitors Disciplinary Tribunal.
5. The Solicitor will be given the opportunity to make representations in response to the SRA’s proposal and the matter will be passed onto the authorised decision maker.
6. The SRA will then inform the Solicitor whether they propose to publish the outcome which the Solicitor will be able to submit representations.

The Crime and Regulatory department have extensive experience in representing solicitors in SRA investigations and at the Solicitors Disciplinary Tribunal. In our experience it is imperative that solicitors are legally represented from the first correspondence with the SRA. Being investigated by the SRA is extremely stressful and can cause solicitors to respond in an emotional manner and/or include factors that are not relevant. It is always helpful to have an expert, objective input with the SRA principles clearly in mind.

During the SRA investigation, all correspondence with the SRA will be used as evidence and will determine the outcome of the investigation. It is therefore important to ensure that all correspondence is clear, consistent and concisely addresses the issues and concerns raised.

Saunders Law has recently successfully represented a solicitor in correspondence with the SRA where several allegations were raised by her previous employer. The allegations concerned misleading clients, misleading her supervisor and failing to progress client files. The solicitor instructed our Regulatory Department as soon as she received the initial letter from the SRA and, in her case, we were able to refute all allegations with clear and concise representations. This ultimately led to the SRA taking no further action.

If you are being investigation by the SRA or have been referred to the Solicitors Disciplinary Tribunal, please get in touch with our Crime and Regulatory department to discuss how we can assist.