Prosecutions
Decisions to prosecute at the Solicitors Disciplinary Tribunal
In some cases, the SRA does not make the final decision about a solicitor's alleged misconduct, but refers it to the Solicitors Disciplinary Tribunal (SDT), where we are responsible for prosecuting the matter. 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 SDT are balanced carefully and fairly. Two tests need to be satisfied:
- an evidential test, and
- a public interest test.
A decision to prosecute a solicitor before the SDT does not amount to a finding of misconduct. Solicitors often contest the allegations against them, and some or all of the allegations may not be proved. It is for the SDT 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 SDT has certified that there is a case to answer.
Neither the SRA nor the SDT will discuss those allegations with you.
The SDT's power to discipline solicitors is set out in section 47 of the Solicitors Act 1974. Proceedings follow a general process, outlined below.
SDT proceedings – general process
We prosecute cases before the SDT 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 SDT. If it is decided that there is a case to answer, the SDT
- sets a "pre-listing day",
- notifies the solicitor, 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. But, on application of either party, the SDT can consent to a private hearing in exceptional circumstances.
Usually, the SDT announces its decision immediately. Findings are published later; they are documents of public record.
Appeals
If the SRA or the solicitor disagrees with SDT's decision, they can appeal to the High Court. Unless specifically ordered by the SDT or the Court, an appeal does not suspend the SDT's order. An appeal can take many months.