Solicitors Regulation Authority & Professional Disciplinary Tribunal (SRA/SDT)

Facing investigation by the Solicitors Regulatory Authority (SRA) or appearing before the Solicitors Disciplinary Tribunal (SDT) can have far-reaching consequences on your career and significantly impact your well-being. Our SRA/SDT investigations/proceedings lawyers have vast experience in assisting clients with SRA and SDT matters and are committed to securing a favourable outcome and limiting any damage to your professional and personal reputation.

SRA/SDT Investigations & Proceedings

Our solicitors act for clients from individual solicitors to large law firms in connection with SRA investigations and SDT proceedings.

SRA Investigations

The SRA is tasked with regulating solicitors in England and Wales to protect the public.

If the SRA receives a complaint about a solicitor or firm, it will begin by checking whether the conduct warrants an investigation. The types of conduct that may lead to an SRA investigation include:

• Dishonesty
• Fraud
• Discrimination
• Failing to act in a client’s best interests
• Recklessness
• Incompetency

In addition to the nature of the alleged misconduct, the SRA will consider various other factors when deciding whether to open an investigation, including:

• What motivated the solicitor or firm’s actions
• Whether the behaviour was a one-off or continued over time
• Whether the solicitor or firm gained an advantage from their misconduct
• Whether the solicitor or firm was dealing with someone vulnerable

If the SRA concludes that an investigation is necessary, it will collect evidence before deciding on an appropriate course of action. Possible outcomes include warnings, fines, or referral to the SDT.

Our team can support you at every stage of an SRA investigation, advising on your position, representing you at SRA interviews, and responding to the SRA’s decisions.

SDT Proceedings

The SDT is an independent Tribunal that deals with alleged misconduct by solicitors. If the SRA finds evidence of serious misconduct, it can refer the case to the SDT, which will decide whether there is a case to answer. If so, the SDT will serve an application on the solicitor or firm with directions on how the matter will proceed.

At the end of the hearing, the SDT may impose penalties such as a reprimand, fine, suspension, or strike-off.

Why Choose DJMS Solicitors?

As solicitors ourselves, we understand the challenges faced by the legal profession. We have extensive experience advising and representing professionals facing regulatory investigations and proceedings. We offer pragmatic advice to resolve the issue swiftly and favourably, minimizing any reputational harm.