SRA Investigations - A Step by Step Guide
Every year the SRA receives thousands of reports of potential misconduct, along with other pieces of intelligence about solicitors. While cases before the SDT attract news attention, decisions or investigations involving lower-level misconduct often do not.
This highly sympathetic virtual classroom seminar will explore the important subject of regulatory investigation and decision making by describing the stages of an SRA investigation.
We will examine the statutory basis of the SRA’s decision making powers and the SRA Regulatory and Disciplinary Procedure Rules 2019, which form part of the new Standards and Regulations. In addition, you can expect to understand how these processes might translate into contact with a solicitor under investigation in a useful step by step guide.
This session is aimed at COLPs, COFAs and MLROs, and to anyone working in a law firm who would like to learn more about the process, in a safe environment.
What You Will Learn
This live and interactive session will cover the following:
- The SRA’s statutory basis for investigation and decision making, including the range of decision-making powers available
- The SRA Regulatory and Disciplinary Procedure Rules and how they govern the SRA regulatory decision making process
- What happens when…? A sympathetic discussion of different points in the decision-making process, including:
- When the SRA receive a report of misconduct
- When the SRA begin an investigation
- When the SRA conduct a thematic review and how they differ from other types of investigation
- When the SRA make initial contact to ask for an explanation
- When the SRA refer the matter to an authorised decision maker
- When the SRA refer the matter to the Solicitors Disciplinary Tribunal
- When a matter is closed
- The various points of appeal and sources of help, advice and support available
Recording of live sessions: Soon after the Learn Live session has taken place you will be able to go back and access the recording - should you wish to revisit the material discussed.
Please let us know if you wish to be notified.