SRA Regulatory and Disciplinary Procedure Rules


Introduction

These rules set out how we investigate and take disciplinary and regulatory action, for breaches of our rules and regulatory requirements. They apply to solicitors, RELs, and RFLs as well as the firms we authorise and those who work for them.

The sanctions and controls we can impose as a result of our investigation will depend on the scope of our statutory powers and will be determined in accordance with our Enforcement Strategy.

This introduction does not form part of the SRA Regulatory and Disciplinary Procedure Rules.

SRA Regulatory and Disciplinary Procedure Rules

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Supplemental notes

Made by the SRA Board on 30 May 2018.

Made under sections 31, 44C and 44D of the Solicitors Act 1974, section 9 of, and paragraphs 14A and 14B of Schedule 2 to, the Administration of Justice Act 1985, section 83 of, and paragraph 20 of Schedule 11 to, the Legal Services Act 2007 and the Legal Services Act 2007 (The Law Society and the Council of Licensed Conveyancers) (Modification of Functions) Order 2011.

SRA Regulatory and Disciplinary Procedure Rules

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You are reading current version in effect from 25 November 2019

Guidance

The SRA's approach to financial penalties

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

Issuing Solicitors Disciplinary Tribunal proceedings

This guidance explains the approach we take when deciding whether to issue proceedings in the Solicitors Disciplinary Tribunal.

Agreeing regulatory and disciplinary outcomes

This guidance is to help you understand your obligations and how to comply with them. We may have regard to it when exercising our regulatory functions.

How we regulate non-authorised persons

This guidance is to help you understand your obligations and how to comply with them. We may have regard to it when exercising our regulatory functions.

Decision-making, reviews and attendance proceduresHow we gather evidence in our regulatory and disciplinary investigations

This guidance is to help you understand how we gather evidence, the investigatory powers we have to gather evidence and how we can use those powers.

On-site investigations (inspections)

This guidance is to help you how we make decisions to conduct an on-site inspection and your obligations in that regard. We may have regard to it when exercising our regulatory functions.

Guidance on publishing regulatory and disciplinary decisions

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