Professional Disciplinary
We are on the Solicitors Assistance Scheme Panel and regularly advice solicitors and law firms who
are subject to investigations by the Solicitors Regulation Authority and prosecutions before the
Solicitors Disciplinary Tribunal.
We are also members of the Association of Regulatory and Disciplinary Lawyers (ARDL).
We are always conscious that such investigations can be stressful for professionals and it is
important that objective and independent advice is taken at an early stage. We find regularly that
solicitors are reluctant to face up to these issues and often advice is taken too late.
INTERVENTIONS
Interventions in law firms can occur where the Solicitors Regulation Authority ( “SRA”) believes
that there are grounds to suspect dishonesty on the part of a partner and there are serious breaches of
the Solicitors Accounts Rules and the Solicitors Code of Conduct. An intervention often means the
total ruin of a solicitors practice and their livelihood. It is essential that independent advice is sought
where dishonesty allegations are being made.
We have recently acted for a law firm in proceedings against the Law Society where we challenged
the decision to intervene. The proceedings were compromised with an intervention notice being
withdrawn.
SOLICITORS REGULATION AUTHORITY
The SRA may start an investigation against a solicitor. This can arise by a complaint, visit by the Practice Standards Unit or a forensic investigation by the SRA. If the conduct is serious, a referral can be made to the SDT. In certain cases, the SRA may be prepared to enter into a regulatory settlement and it can also impose conditions on the solicitors practicing certificate which can be draconian and, e.g., prevent them dealing with certain areas of work such as conveyancing.
SDT
In serious cases, the conduct of the solicitor, their clerks and registered foreign lawyers can be
referred to the Solicitors Disciplinary Tribunal (“SDT”) by the SRA. This is an independent body
which deals with breaches of the Solicitors Code of Conduct and associated matters. The SDT has
wide powers, including the striking of a solicitor from the Roll, suspension from practice for a
limited or indefinite period, fining or administrating a reprimand. In addition, it can award costs
against the solicitor, including the SRA investigation costs. Its decisions can be subject to an appeal
to the High Court.