The SRA Handbook is no longer in effect. It was replaced by the SRA Standards and Regulations on 25 November 2019.

SRA Handbook

Discipline investigations

Back to version 21

Version 3 of the Handbook was published on 20/04/2012. For more information, please click 'History' Above

Regulation 3: Discipline investigations


A regulated person who is the subject of a discipline investigation may be required by the SRA to pay a charge in accordance with these regulations provided that there has been an SRA finding against the regulated person.


An SRA finding may be made by:


agreement between the regulated person and the SRA;


a person duly authorised by the SRA;


a single adjudicator; or


an adjudication panel.