REGULATORY AND DISCIPLINARY INVESTIGATIONS

TCP has a proven track record in providing assistance to firms facing an investigation from various units within the Solicitors Regulation Authority.

Investigations can arise as a result of a variety of intelligence and information that the SRA has about firms. Sources of information include applications for recognition and practising certificates which include information about third party relationships, referrals from SRA Visits, and intelligence about conduct issues from third party organisations such as the Legal Complaints Service.

Anecdotal evidence and statistical evidence drawn from the SRA’s own periodic Summary of Performance Indicators on its website, indicates that firms subject to disciplinary decisions are far more likely to receive a reprimand, a severe reprimand or a referral to the Solicitors’ Disciplinary Tribunal than might have been the case even a few years ago.  Non-disciplinary decisions such as letters of advice and warnings are on the decrease.

The SRA has proposed that it should be able to impose additional internal sanctions to fine up to £2,000 and/or to rebuke. It is likely that the additional sanctions will be applied for technical breaches of Rules. The additional sanctions are not yet on line because the Master of the Rolls has referred back to the SRA the question of whether the civil burden of proof or the higher standard employed in the SDT should apply. However, this is the only issue holding up these internal sanctions. These decisions, like any conditions on recognition or practicing certificates will be subject to publication on the SRA’s website for three year with little prospect of firms being able to appeal against a decision to publish.

The SRA can in certain situations oblige a solicitor to submit to a digitally recorded investigation meeting. A solicitor subject to these powers is entitled to be accompanied by another person. TCP can attend investigation meetings with you.

TCP does not represent solicitors in the SDT but is able to refer solicitors in this position to specialist firms and counsel.  In these circumstances, TCP can offer its Expert Witness Service. TCP endeavours, however, to prevent solicitors from getting into this situation in the first place.

TCP can assist firms with SRA Regulatory and Disciplinary Investigations in the following practical ways:

• Telephone advice, via the TCP Helpline Service, to identify the key areas of enquiry and which ones pose a substantial risk of a disciplinary finding.
• Attending an investigation meeting with you.
• Assistance in drafting responses to SRA enquiry letters, representations to case worker adjudication reports and draft recommendations and adjudication appeals.
• Under the Compliance Audit Service, TCP can provide an independent assessment report prior to an SDT hearing. Under the Expert Witness Service TCP can provide evidence before the SDT, either instructed by you or by the solicitor’s firm or counsel instructed by you to represent you in the SDT.

Please contact TCP should you need help with SRA Regulatory and Disciplinary Investigations.