SRA Investigations Solicitor
The Solicitors Regulation Authority is something that anyone working in the legal sector will be well aware of. Suspected failure to uphold their regulations should lead to SRA investigations for lawyers and non-lawyers alike. Instruct a regulation specialist if required.
Talk to one of our team members on 0330 111 3131
The SRA exists to regulate legal practice and practitioners in the public interest.
It aims to maintain public trust and confidence in legal services, and will pursue investigations wherever there are concerns that these standards are not sustained.
After all, solicitors are generally well respected individuals in society and must be able to responsibly manage the trust that their clients put in them when it comes to confidentiality and fair practice.
Whether you are an SRA regulated solicitor or an employee in an SRA regulated firm, you must uphold the regulations and be competent in your work to act in the best interests of your clients.
If the Solicitors Regulation Authority has reason to believe an individual or firm has fallen short of the standards, they will launch an investigation.
The extent of SRA investigations can range from resolution locally to the extremes of being struck off.
As such, it is crucial that if you face investigation you seek the support of a solicitor regulation specialist at the earliest opportunity.
Contact our award-winning team who will be happy to discuss your situation, either using this form or by calling us on 0161 969 3131.
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Reports and Complaints of Misconduct
Complaints or reports can be made to the SRA by anybody from members of the public and clients to misconduct reports from the courts, or whistle-blowers within the business.
While all reports and complaints of misconduct are acknowledged, not all of them are acted on. SRA investigations focus on any concerns of misconduct that could be most likely to harm public interest, so a risk-based approach is taken when assessing reports.
The SRA has a three-stage assessment tool which decides whether a concern will be investigated.
It is worth noting that concerns about poor service do not fall within the remit of the SRA; these should be reported to the Legal Ombudsman.
The Three Stage Test
The three questions asked that dictate whether SRA investigations are launched, or not, are as follows:
- Based on the reported concern, has there been a potential breach of SRA standards?
- Is the breach serious enough that if proven could lead to regulatory action?
- Is there evidence to prove such a breach?
When the answer to all three is yes, it is highly likely that the SRA’s investigation will go ahead. If facing allegations of misconduct yourself, consider the above questions.
Instructing a Specialist
We cannot stress enough the importance of having a solicitor regulation specialist by your side throughout an SRA investigation, if it does go ahead. It could be the difference between being able to carry on in your profession or not, depending on the severity of the allegations.
Instructing a solicitor regulation specialist at the earliest opportunity will ensure that any preliminary action is as helpful as possible in stopping the need for further action being taken.