Reporting and how to report
Last updated 28 March 2012
Your obligation to report
If you are regulated by us, you must (subject, where necessary, to your client's consent) ensure you are able to comply with your legal and regulatory obligations and deal with us in an open, timely and co-operative manner. This involves you
- ensuring you comply with all the reporting and notification requirements in the Handbook that apply to you
- notifying us promptly of any material changes to relevant information about you including
- serious financial difficulty
- action taken against you by another regulator, and
- serious failure to comply with or achieve the Principles, rules, outcomes and other requirements of the Handbook; and
- reporting to us promptly, serious misconduct by any person or firm authorised by the SRA, or any employee, manager or owner of any such firm.
If you are a compliance officer for legal practice (COLP) or compliance officer for finance and administration (COFA) of a licensed body, you have additional duties. These are set out in rule 8.5 of the SRA Authorisation Rules for Legal Services Bodies and Licensable Bodies 2011.
Self-reporting or reporting another professional
To self-report or report another lawyer or firm regulated by us you may do this by
If you wish to report on a confidential basis you can do so by contacting our Fraud and Confidential Intelligence Bureau
Our service standards
As far as possible, we are open and transparent in our dealings with you.
If you have reported an individual or firm and you are unhappy with our response, you can complain to us.