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Disciplinary procedures

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.

Parallel investigations - Guidance

To help you understand our approach towards investigating breaches of our regulatory requirements which relate to the same or similar underlying facts as concurrent civil, regulatory or criminal proceedings.

Bringing criminal proceedings - Guidance

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

How we approach decisions to intervene - Guidance

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

Recovering costs and payments from third parties - Guidance

To help you understand when and how we recover costs and payments from third parties following an intervention.

How we recover our costs - Guidance

To help you understand our approach to recovering money due to us as a result of regulatory action and litigation.

How we gather evidence in our regulatory and disciplinary investigations - Guidance

Understand how we gather evidence, the investigatory powers we have to gather evidence and how we can use those powers.

The Prohibition of referral fees in LASPO 56 60 - Guidance

An overview of the approach we will adopt in determining whether a regulated person has paid or received a referral fee contrary to section 56 of LASPO.

If we are investigating you - Guidance

An oversight of how we investigate allegations of a breach of our Standards and Regulations.

Publishing regulatory and disciplinary decisions - Guidance

Understand the approach we take when deciding whether to publish regulatory and disciplinary decisions on our website.