Search guidance - results

Disciplinary procedures


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.

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.

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.

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.

Making decisions to investigate concerns - Guidance

To help those we regulate understand how we assess reports and complaints made about them.

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.

Issuing Solicitors Disciplinary Tribunal proceedings - Guidance

To help you understand the approach we take when deciding whether to issue proceedings in the Solicitors Disciplinary Tribunal.

Publishing regulatory and disciplinary decisions - Guidance

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

Making payments from the compensation fund - Guidance

We operate a fund for making grants to people whose money has been stolen, misappropriated, has not been accounted for by a regulated person or those who have suffered a loss against which a regulated person should have been insured under our rules, but was not.