SRA Self Reporting: How to report yourself to the SRA

Every solicitor, registered European lawyer and foreign lawyer is obligated to comply with the Solicitor Regulation Authority’s (SRA) Code of Conduct.

The SRA Code for firms obliges each firm to report to the SRA “any facts or matters that you reasonably believe should be brought to the SRA’s attention in order that it may (i) investigate whether a serious breach has occurred or (ii) exercise its relevant regulatory powers”. This test goes beyond what the firm itself believes is a serious breach. It also requires firms to consider what the SRA would be minded to investigate as a potentially serious breach.

Failing to promptly report an issue, or misjudging when a report is required, could have serious consequences, highlighting the need for proficient legal support. At Saunders Law, we are experts in advising on a wide range of matters which involve the intervention of the SRA, including the process for SRA self reporting.

Demonstrating that you can accurately follow the correct process for SRA self reporting, with the assistance of our team, could increase your chances of avoiding a formal disciplinary hearing – or receiving a reduced penalty where a hearing is still necessary.

We have decades of experience across our team, having earned recognition for our skills from leading industry guides the Legal 500 and Chambers & Partners.

Led by  Alistair Parker, James Saunders (a member of the Solicitors Assistance Scheme), and Amber Richardson we are known for our thorough approach and for tirelessly fighting our clients’ corners.

Operating from offices in central London, our SRA self reporting solicitors are ideally located to help clients handle various professional regulatory and disciplinary processed, including SRA investigations.

Find out more about the firm, its teams, and its typical work by taking a look at our clients.

Speak to our SRA self reporting solicitors today

For expert assistance with self reporting in the SRA or any related other relevant matter, contact Saunders Law today for a free, no obligation initial discussion of how we may be able to help.

Call us on 020 7315 4807 or make an enquiry online.

Why work with our SRA self reporting solicitors?

Extensive specialist experience with SRA self reporting

At Saunders Law, our partner-led team have many years of combined experience and expertise in handling SRA matters, including self reporting breaches of the Code of Conduct.

Our team have previously helped to achieve numerous successful results for our clients, with successful SRA self reports being submitted to prevent SRA investigations from taking place or proceeding any further.

Independently recognised expertise

Our team have been independently recognised for our general legal expertise in various sectors with strong rankings in highly respected client guides the Legal 500 and Chambers & Partners.

Commercially minded approach to match our client’s priorities

No matter what the SRA self report relates to, or what the wider context of the situation may be, our team will take the time to create a tailored strategy that is aligned with your priorities.

We will be in a position to advise you on the process for SRA self reporting and representing you during any SRA investigations that take place as a result of the report.

Exceptional personal service & client satisfaction

We are proud of the high level of personal service we provide to all of our clients. Clients will always receive a call back on the same day after making an enquiry with our team and will be able to speak to one of our partners when required. This means that we are able to consistently achieve excellent feedback from clients.

Transparent and flexible pricing

We provide transparent guidance on the likely costs involved in advising on SRA self reporting and any following investigations. Various funding options will be available to suit different circumstances and we also have strong relationships with litigation funding providers.

How we can help you with SRA self reporting

Objective advice & strategic insight on your situation

No matter how experienced you may be, or how many years you have been practising for, it can often be difficult to view your situation objectively. As such, it may not be immediately obvious whether you should make a self report and what processes you should follow. This is where the advice and guidance of our experts will be extremely important.

When instructed, our team can provide you with an independent observation of your situation and current legal position. From here, we can offer a strategic approach to address the matter, which may include preparing a self report.

At this stage, we can also prepare you for the possibility of any future SRA investigations and tribunal proceedings and how this is likely to unfold.

Self reports should be made as promptly as possible, using the standard form available on the SRA website, or by directly emailing the SRA.

Preparing an SRA self report

Once we collectively decide to proceed with submitting an SRA self report, our team can then proceed to carefully prepare the necessary documentation.

Our solicitors will assess the level of detail required during a submission, obtain, and document any relevant evidence and proceed to file the report with the SRA.

We are experienced in establishing exactly what the SRA will be looking for in a self-report and what inclusions or exclusions may ultimately service to support or harm your case and lead to further regulatory action.

Dealing with subsequent SRA investigations

Depending on the nature of the self report and the actions that have deemed it necessary, the SRA may elect to launch an investigation. The result of an investigation could vary, with potential punishments including fines and rebukes. If a case is referred to the Solicitors Disciplinary Tribunal, being struck from the register is possible.

We can help you to prepare for the possibility of an SRA investigation and what this will entail. This is likely to involve preparing a response to an SRA investigation letter, providing representation for any SRA interviews, responding to the outcomes of an investigation, and providing Tribunal representation.

Frequently asked questions about SRA self reporting

How do I self report to the SRA?

Self reporting is relatively simple, but it is critical that you receive the right advice prior to getting in touch with the SRA.

A report can be filed online by emailing the SRA using the address: [email protected]. There is no standard format which needs to be followed.

It is important to note that, if the misconduct you are self reporting involves a client matter, it is good practice to obtain that client’s consent before you disclose any confidential information. However, should the client refuse their consent to report certain facts, you should take legal advice. You may still be obliged to disclose those facts within your report.

The SRA note that any delays in filing a self report is likely to impede their ability to investigate a matter as effectively as possible. It is therefore encouraged that a self report if completed as quickly as it is reasonably possible to do so.

What happens if you self report?

If you self report to the SRA, you should expect to provide evidence that demonstrates how you came to the decision to self report and offer further insight into any related issues that influenced your decision.

Following a self report, the SRA will likely conduct their own investigation, using any information supplied in the self report to guide them. A Tribunal hearing may take place if the SRA decide the case is serious and could lead to you being struck off the solicitors’ roll.

What happens if you don't self report?

Failing to make a self report promptly, or at all, could lead to further harm being caused and also carries a risk that regulatory action will be taken against you.

If the SRA do launch an investigation into your actions (potentially following a report from a third party), any failure to self report could act against you and lead to more severe punishments.

What penalties can the SRA use?

The SRA have the authority to issue a range of penalties after conducting an investigation.

Firstly, they could issue a financial penalty, with the level of said penalty depending on the type of firm you work in. If you work in a traditional law firm (recognised bodies or recognised sole practices), the maximum financial penalty that the SRA can impose is £25,000. For licensed bodies (Alternative Business Structures), the maximum penalty rises to £50 million for an individual or up to £250 million for the entity.

You could also be rebuked by the SRA, in the form of a written rebuke.

For breaches that took place wholly before 1 June 2010, you could face a reprimand or severe reprimand.

The SRA may not make a decision about an alleged breach of regulations, instead referring the matter to the SDT. The Tribunal has the power to suspend or strike off a solicitor.

Speak to our SRA self reporting solicitors today

For expert assistance with self reporting in the SRA or any related other relevant matter, contact Saunders Law today for a free, no obligation initial discussion of how we may be able to help.

Call us on 020 7632 4300 or make an enquiry online.