Prosecutions
Decisions to prosecute at the Solicitors Disciplinary Tribunal
In some cases, the SRA does not make the final decision about a regulated person's alleged misconduct, but refers it to the Solicitors Disciplinary Tribunal (SDT), where we are responsible for prosecuting the matter. The tribunal's powers are wider than some of our own.
The SDT is an independent tribunal; we publish the SDT's findings separately from our regulatory and disciplinary decisions.
The factors for and against prosecuting a case before the tribunal are balanced carefully and fairly. Two tests need to be satisfied:
- an evidential test, and
- a public interest test.
You can learn more by reading the SRA's Code for referral to the Solicitors Disciplinary Tribunal (PDF 47K).
A decision to prosecute an individual or firm before the SDT does not amount to a finding of misconduct. People often contest the allegations against them, and some or all of the allegations may not be proved. It is for the tribunal to consider the evidence at a hearing and decide whether the allegations are proved to the necessary standard.
A decision to prosecute may be published when the tribunal has certified that there is a case to answer.
Neither the SRA nor the tribunal will discuss those allegations with you.
Jurisdiction
The tribunal hears allegations of misconduct about
- solicitors,
- registered European lawyers (RELs),
- registered foreign lawyers (RFLs),
- recognised bodies,
- managers of recognised bodies,
- employees of recognised sole practitioners and recognised bodies.
The type of order the tribunal can make depends upon the type of individual being prosecuted. Orders include the payment of a penalty, revocation of recognition in the case of a recognised body and the striking off, or suspension of, solicitors, RELs and RFLs.
Tribunal proceedings — general process
We prosecute cases before the tribunal ourselves, or we instruct an external solicitor to do so.
If we decide to prosecute, we then
- collect further information as necessary, and
- prepare a Statement of Allegations.
The Statement of Allegations and evidence is sent to the tribunal. If it is decided that there is a case to answer, the tribunal
- sets a "pre-listing day",
- notifies the individual or firm, and
- serves them with copies of the Statement of Allegations and evidence.
The pre-listing is an administrative procedure in which a date for the substantive hearing and time estimate is decided.
The hearing
Hearings are usually in public. However, on application of either party, the tribunal can consent to a private hearing in exceptional circumstances.
Usually, the tribunal announces its decision immediately. Findings are released later; in most cases, they are documents of public record.
Appeals
If the SRA or subject individual or firm disagrees with the tribunal's decision, they can appeal to the High Court. Unless specifically ordered by the tribunal or the Court, an appeal does not suspend the tribunal's order. An appeal can take many months to be heard.