In some cases, we do not make the final decision about a firm or regulated person's alleged breach of our Principles, but we refer 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. It can, for example, strike a solicitor from the roll of solicitors.
The factors for and against prosecuting a case before the tribunal are balanced carefully and fairly. Before we can prosecute, we have to conduct tests to decide whether
You can learn more by reading the SRA's guidance for issuing Solicitors Disciplinary Tribunal proceedings.
There are three types of outcome in relation to conduct referred to the tribunal, listed below.
Referral to the Solicitors Disciplinary Tribunal
This is not a finding of a breach of our Principles; it is a decision by us to prosecute before the tribunal. Allegations are often contested and some or all of the allegations may not be proven.
It is for the tribunal to consider the evidence at a hearing and decide whether the allegations are proven to the necessary standard. A decision to prosecute may only be published when the tribunal has certified that there is a case to answer.
We may publish decisions to refer to the SDT published on our solicitor check. They will be listed either as "prosecution" or "referral to the Solicitors Disciplinary Tribunal" but mean the same thing.
This is the tribunal's final decision. An order may be subject to appeal. Detailed findings are often not available for a few months. These are published on the SDT website.
The tribunal's findings
This is a full account of the tribunal's decision. It contains both the findings of the tribunal in detail and the order made. Such findings may be subject to appeal.
If you have any queries about unpublished SDT findings, please contact the SDT.
Not all regulatory decisions are published—read more about our approach to publication.
Only decisions made since June 2008 are published on this site. Decisions remain on the site for three years.
For the most up-to-date and complete picture of an individual's regulatory record, please contact us.
Read more about how we regulate.