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Sanctions

Where we impose a sanction against a firm or individual, we are satisfied that they have failed to comply with our Principles.

If the breach occurred wholly before 1 June 2010 we would have issued a reprimand or a severe reprimand rather than a fine or a rebuke, as we were granted new legal powers by the Legal Services Act 2007.

To help us decide whether it is appropriate to impose a sanction, the legislation requires us to follow both

Fine

Where we are satisfied that a firm or individual has failed to comply with the SRA Principles, we may direct a fine be paid, not exceeding £2000. This power does not apply to misconduct occurring wholly before 1 June 2010.

We may publish the details if we consider it is in the public interest to do so. A decision to publish is a separate decision to the decision to impose the sanction. Both the decision to issue the sanction and the decision to publish can be appealed at the Solicitors Disciplinary Tribunal.

Where we direct a fine be paid it is recoverable as a debt due to us and is forfeited to the Crown.

Rebuke

Where we are satisfied that a firm or individual has failed to comply with the SRA Principles, we may give a written rebuke. This power does not apply to non-compliance occurring wholly before 1 June 2010. In those cases we may impose a different type of disciplinary sanction; either a reprimand or severe reprimand. Both the decision to issue the sanction and the decision to publish can be appealed at the Solicitors Disciplinary Tribunal.

We may publish the details if we consider it is in the public interest to do so. A decision to publish is a separate decision to the decision to impose the sanction.

Reprimand/severe reprimand

Where we are satisfied that a firm or individual has failed to comply with our rules involving breaches which occurred wholly before 1 June 2010, we may issue either a reprimand or a severe reprimand. This is a form of disciplinary sanction applied before new powers were granted to us by the Legal Services Act 2007.

A decision to reprimand or severely reprimand will not be published, unless it forms part of a regulatory settlement agreement.

Important notes

Not all regulatory decisions are published—read more about our publication policy.

Only decisions made since early 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.