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Disciplinary procedures


How we regulate non-authorised persons - Guidance

How we will regulate you if you are not authorised by us directly but where you are involved in a firm we regulate or work for, or are supervised, by a solicitor.

How we deal with money when we intervene (Statutory Trusts) - Guidance

To help you understand how we deal with money when we intervene into a firm.

SRA investigations: Health issues and medical evidence - Guidance

Guidance: This guidance is to help you understand the approach we take to health issues which are raised by those we are investigating and the medical evidence which we might ask for.

The SRA's approach to financial penalties - Guidance

A guide for our decision makers to assist them in arriving at an appropriate financial penalty for the individuals and firms we regulate.

On-site investigations (inspections) - Guidance

To help you understand how we make the decision to conduct an on-site inspection and what is expected from you.

Agreeing regulatory and disciplinary outcomes - Guidance

To help you understand when we might agree to a regulatory and disciplinary outcome by way of a Regulatory Settlement Agreement.

Bringing criminal proceedings - Guidance

Understand how and when we may bring criminal proceedings against those we regulate.

Decision-making, reviews and attendance procedures - Guidance

To help you understand how we make a first instance decision and how we deal with an application for an internal review of that decision.

How we approach decisions to intervene - Guidance

We explain how we approach the decision to intervene into a solicitor’s firm or practice.

How we make decisions and the criteria we apply - Guidance

To help you understand the overarching principles that guide us when we make regulatory decisions and the criteria we apply.