I have been reported
What happens to reports about me or my firm?
We look at every report we receive to decide whether we will investigate it. We weigh the risk of doing nothing against the cost of acting.
Many reports do not get past first review: it is not our role to investigate them, or the risks they pose do not justify the cost of investigating. We also weigh up how much evidence there is and how likely it is we will be able to get more. If we receive a report about you or your firm and close the report at this stage, we probably will not contact you.
Information and evidence gathering
We give reports that merit closer review to a regulatory supervisor. While they are looking into potential misconduct, they may ask for information from you or your firm, from the person who made the report or from other relevant sources.
We may close the report at this stage without contacting you or your firm.
How will I be contacted?
If we need more information from you or your firm, we may
- telephone you
- arrange to visit you
- arrange an on-site forensic inspection
- email or write to you
- serve you with a Section 44b notice
Once we have the information we need, we may close the matter or start a formal investigation.
Formal investigations are governed by the SRA Disciplinary Procedure Rules 2011. In most cases, we will put misconduct allegations to you or your firm in a formal letter. You will have 14 days to respond to these allegations and explain your conduct. We could then close the matter, or we may move to enforce a formal regulatory outcome.
Learn about regulatory outcomes