Click on a type of decision below to view the corresponding criteria.
This is how we assess whether we should conduct an investigation into a complaint of misconduct or other breach of our regulatory requirements.Gathering evidence
We have a range of powers to gather the evidence that we need to decide whether to take regulatory action. This explains how and when we use them.On-site investigations
Guidance about how and when we decide to investigate on-site.Parallel investigations
How our investigations are affected by other organisations.
How we decide to issue proceedings before the Tribunal.Regulatory settlement agreements
When we will enter into agreements to conclude regulatory investigations.Publishing regulatory and disciplinary decisions
Publishing regulatory decisions on our website.Bringing criminal proceedings
Bringing proceedings against those who have committed criminal offences.
Deciding whether to intervene into a solicitor's practice or a law firm.Dealing with money when we intervene
Dealing with money held by a law firm which we have intervened into.Making payments from the Compensation Fund
How we make decisions on applications to the Compensation Fund.
How we regulate non-authorised people in law firms that we regulate.Dishonesty
Our approach to concerns that a regulated person has acted dishonestly.Recovering costs
Recovering money owed as a result of our regulatory action.Recovering costs and payments from third parties
When and how we recover money from third parties.Granting authority to withdraw residual client balances
How we authorise law firms to withdraw residual client balances exceeding £500.Granting waivers
When an individual or firm regulated by us, or affected by our rules or regulations, ask us to agree that they do not have to comply with that rule or regulation.