SRA Investigations FAQs

Hickman & Rose specialise in representing solicitors who are either under investigation – or face the prospect of investigation – by the Solicitors Regulation Authority (SRA). The firm regularly represent solicitors whose SRA matters proceed to the Solicitors Disciplinary Tribunal (SDT).

Led by the highly-experienced Andrew Katzen, the firm’s SRA defence team know how impactful and investigation by the regulator can be, even in circumstances where the facts of an allegation seem quite straightforward to deal with.

Here, Andrew and his colleagues answer some of the most commonly-asked questions relating to investigations by the Solicitors Regulation Authority.

How do I know the SRA is investigating me?

Any individual solicitor under investigation will usually be informed of this by the Solicitors Regulation Authority. However, in cases where the SRA suspects that informing the subject may prejudice its investigation, it can start without first notifying them.

The SRA can inform an individual’s employer and firm management of its actions as well other regulators if applicable. It also has powers to contact third parties in order to obtain evidence.

How should I respond to an SRA notification of investigation?

Precisely how a solicitor should respond to a notification of SRA investigation will always be case dependent, but it is generally advisable to adopt a proactive attitude to the regulator.

An early explanation of why an investigation is unmerited – coupled with timely presentation of evidence backing this up – can enable the regulator to understand that the matter may be different to how it was perceived.

What punishments are available to the SRA?

The SRA itself has powers to impose sanctions against a firm or an individual without the need to refer them to the tribunal. They include a fine, a rebuke and a reprimand.

What is a Regulatory Settlement Agreement?

A Regulatory Settlement Agreements is an agreement to end disciplinary proceedings sometimes without the need for a hearing before the SDT which the terms can be negotiated. SRAs can be a quicker and more cost-effective way of dealing with disciplinary allegations. 

Even if a matter has been referred to the SDT, it may still be possible to conclude the case without a full SDT hearing by way of an agreed outcome whereby the solicitor has a say in how the matters are publicly presented.

Can I keep an SRA investigation private?

The SRA does not generally publicise the fact that it is undertaking an investigation. However, any decision it makes, such as a decision to enter into a Regulatory Settlement Agreement or to refer a case to the SDT, will usually be published on its website.

In most cases the SRA will write to the respondent to inform them of the proposed text of such a website announcement, at which point the respondent can make representations.

Settling an SRA investigation by means of Agreed Outcome or Regulatory Settlement Agreement will normally not prevent the fact of the investigation becoming public, but does prevent the matter going to a public hearing.

What punishments are available to the SDT?

Sanctions available to the Solicitors Disciplinary Tribunal panel include the ability to strike the respondent solicitor off the professional Roll, to suspend them from practice, pay an unlimited fine, and pay the costs of the SRA prosecution.

As a matter of principle, the SDT does not normally award costs to any vindicated respondent in an SDT hearing unless there is a “good reason” to depart from the usual position.

Can I keep an SDT hearing private?

The general principle is that SDT hearings are public meaning members of the public and the media may attend with the latter able to report proceedings including evidence adduced and the panel’s decisions.

There are certain limited circumstances when it can be successfully argued that the proceedings should be held in private.

What should I do if I receive a Rule 2.3 Notice letter?

A Rule 2.3 Notice letter is a formal letter from the SRA setting out its allegations and giving the solicitor of firm the right of reply. In general it is prudent to take specialist advice before replying to a Rule 2.3 notice letter as the best way to respond will always be case dependent.

Certainly a Rule 2.3 Notice letter should never be ignored.