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.
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