Investigation and enforcement
Our role is to set, promote and secure in the public interest, standards of behaviour and professional performance necessary to ensure clients receive a good standard of service and the rule of law is upheld.
We regulate you if you are a
- solicitor,
- registered European lawyer,
- registered foreign lawyer,
- recognised body,
- lawyer or non-lawyer who is a manager or employee of a legal disciplinary practice,
- employee of a recognised body or recognised sole practitioner.
Since 1 February 2010, our approach is to investigate you as a firm. Compliance with a firm's regulatory obligations is the primary responsibility of a firm, however we may decide to investigate you as individual where, for example, there is evidence of personal culpability.
If we suspect professional misconduct, we may investigate you and your firm. If we find misconduct, our final decision will be proportionate to the misconduct found. There are cases where we decide not to investigate. Where this is the case, we will notify you.
Investigations are mainly conducted by raising issues with you in writing. We may also decide to conduct an investigation on-site.
Information about how we investigate and make decisions can be found by choosing from the following options: