Specialist SRA defence for solicitors and legal professionals.
What we do at the SRA
What we do at the SRA
- Responding to SRA investigation letters and requests for information
- Representations to SRA decision-makers to close cases without referral to the SDT
- Negotiating Regulatory Settlement Agreements (RSAs)
- Defending solicitors before the Solicitors Disciplinary Tribunal (SDT)
- Advising on agreed outcomes and admissions
- Appealing SDT decisions to the High Court
- Restoration applications and applications to end suspension
We represent solicitors, legal executives, paralegals, and law firm managers across all stages of SRA investigations and SDT proceedings.
The SRA investigation process: stage by stage
Stage 1: Initial notification and information gathering
When the SRA receives a complaint or identifies a concern, it decides whether to open a formal investigation. If it does, it will write to you setting out the allegation and requesting information or documents. This is a critical moment — how you respond to this initial letter can significantly affect the direction of the investigation.
The SRA has wide powers under the Solicitors Act 1974 and the Legal Services Act 2007 to require production of documents, to inspect your practice, and to interview you. You are not obliged to answer questions under caution, but a failure to cooperate can itself be treated as misconduct. We advise on what to provide, how to respond, and what to say.
Stage 2: Investigation report and representations
After gathering evidence, the SRA prepares a draft investigation report or decision letter setting out its proposed findings and the sanction it is considering. You are given the opportunity to make representations in response. This is often the most important opportunity to influence the outcome before a decision is made. We draft detailed representations that address each finding, set out any mitigating factors, and argue for the appropriate outcome.
Stage 3: SRA decision
The SRA can take a number of outcomes at this stage:
- No further action — the investigation is closed
- Advice or warning — informal guidance or a formal warning
- Fine — the SRA can now impose fines of up to £25,000 for individual solicitors and traditional law firms (increased from £2,000 in July 2022)
- Regulatory Settlement Agreement (RSA) — an agreed outcome without referral to the SDT
- Referral to the SDT — for the most serious cases
Stage 4: Solicitors Disciplinary Tribunal (SDT)
The SDT is an independent statutory tribunal that hears the most serious cases of solicitor misconduct. The SRA acts as prosecutor. The SDT has unlimited fining powers and is the only body with power to suspend or strike a solicitor off the Roll. Hearings are conducted in public. Both parties present evidence and make submissions before a panel of two or three members.
Why SRA cases are different
SRA and SDT sanctions
The SRA can impose:
- Informal advice or warning
- Formal rebuke
- Fines up to £25,000 for individuals and traditional law firms
- Conditions on a firm’s authorisation
- Regulatory Settlement Agreements
The SDT can impose:
- Reprimand
- Unlimited fine
- Suspension from practice for a fixed period
- Strike-off from the Roll of Solicitors
A strike-off means you are removed from the Roll and cannot practise as a solicitor. You may apply to the SDT for restoration after five years. Suspension means you cannot practise for a fixed period. You may apply for the suspension to be ended early in appropriate circumstances.
Why the early stages matter most
The single most important moment in an SRA investigation is how you respond to the first letter. Solicitors who engage specialist advice at the outset regularly achieve outcomes — no further action, informal warnings — that are significantly better than those who respond without advice or wait until the matter escalates.
Jake’s background as a former in-house GMC lawyer gives him an insight into how regulators think about cases at the investigation stage. The approach that closes a case — acknowledging what needs to be acknowledged, explaining context clearly, presenting mitigation early — is not the same as a defensive legal response, and not the same as saying nothing. We advise you on the right approach for your specific situation. The initial consultation is free.
Common questions about SRA investigations
What triggers an SRA investigation?
SRA investigations are typically triggered by complaints from clients, former clients, or members of the public. The SRA also investigates concerns raised by courts, other regulators, employers, or the media, as well as information from its own monitoring activity. Common concerns include client account irregularities, alleged dishonesty, conflicts of interest, inadequate supervision, failures in client care, and conduct outside of practice that calls integrity into question.
The SRA has extended its jurisdiction in recent years and now investigates conduct that falls outside professional duties if it impacts on a solicitor’s ability to maintain professional standards.
What is a Regulatory Settlement Agreement (RSA)?
A Regulatory Settlement Agreement is an agreed outcome between you and the SRA, which brings the investigation to an end without a referral to the SDT. RSAs typically involve an admission of breach, a fine or other sanction, and an agreed published outcome. They are usually available only before the SRA decides to refer a case to the SDT.
RSAs can be an effective way of resolving a matter quickly and with some control over how it is publicly presented. Whether an RSA is appropriate depends on the nature of the allegations, the likely SDT outcome, and your specific circumstances. We advise on whether to engage in RSA negotiations and, where appropriate, conduct those negotiations on your behalf.
How long does an SRA investigation take?
The SRA reports that 93% of investigations are concluded within 12 months. In practice, complex investigations involving multiple allegations, client accounts, or parallel proceedings can take significantly longer. Cases that proceed to the SDT take additional time, as the tribunal sets its own timetable for hearings.
We manage your expectations from the outset and keep you informed of progress throughout.
Can the SRA intervene in my practice?
Yes. The SRA has wide intervention powers under the Solicitors Act 1974. It can intervene — seizing files, client funds, and practice documents — if it has reason to suspect dishonesty, failure to comply with rules relating to client accounts, or that the interests of clients are at risk. Intervention is a drastic step with immediate and severe consequences for a practice. If you receive notice of a potential intervention, seek immediate specialist advice.
What is the standard of proof at the SDT?
The SDT applies the civil standard of proof: the balance of probabilities. This means the SDT must be satisfied that it is more likely than not that the alleged misconduct occurred. This is a lower threshold than the criminal standard (beyond reasonable doubt). The standard applies regardless of the seriousness of the allegation, including allegations of dishonesty.
This was confirmed in Solicitors Regulation Authority v Siaw [2019] EWHC 2737 (Admin), following the Supreme Court’s decision in Ivey v Genting Casinos [2017] UKSC 67 on the test for dishonesty.
Do I need a solicitor to represent me at the SDT?
You are not required to be represented, but we strongly advise it. SDT hearings are adversarial proceedings before a formal tribunal. The SRA has experienced in-house and external advocates. Being unrepresented at a contested SDT hearing — particularly one involving allegations of dishonesty — is a significant disadvantage. The stakes are high: the SDT can end your career as a solicitor. We represent solicitors at all stages of SRA and SDT proceedings.