In a previous article posted to this site entitled Professional Regulation and Discipline, we outlined the general nature of disciplinary proceedings which can be implemented in order to maintain the professional standards of those affected.

In this article Tim Thompson of Kangs Solicitors specifically features the process adopted by the Solicitors Regulation Authority when conducting investigations in relation to the conduct of solicitors.

The team at Kangs Solicitors offers considerable experience gained from advising and representing clients from a variety of professional backgrounds in relation to disciplinary proceedings over a number of years and if any aspect of this article is of interest to you please do not hesitate to contact us. 

Our team is led by Hamraj Kang and many members of our team are also recognised by both the Legal 500 and Chambers & Partners for their expertise.

For an initial no obligation discussion, please call our Regulatory Team at any of our offices detailed below:

The Solicitors Regulatory Authority | Kangs Disciplinary Proceedings Defence Solicitors.

The Solicitors Regulation Authority (‘the SRA’) is the regulatory body responsible for regulating the conduct of solicitors in England and Wales and it enjoys a vast array of powers enabling it to investigate the activities of law firms, employees and those individuals and others with whom they deal.

When conducting investigations, which may lead to disciplinary proceedings, the SRA is, inter alia,  entitled to:

  • the production of documentation,
  • the production of information,
  • seek explanations for any activity and conduct.

Investigation Procedure | Kangs SRA Proceedings Solicitors

Having become aware of alleged potential misconduct from any source which would, for example, include a:  

  1. complaint received from a client,
  2. report of misconduct from a staff member,
  3. report from the firm’s financial auditor, usually their accountant.

the SRA will write to the firm’s partners /company’s directors notifying them of the complaint which has been made outlining the allegations.

  • The SRA will seek a detailed written response to the allegations made within a specified time frame.
  • The SRA will investigate the allegations by gathering such information, documentation and explanations from the firm as appropriate and may:
  1. conduct on-site investigations, with or without notice,
  2. interview any or all partners and staff members.
  • At the conclusion of the investigation, the SRA will decide whether or not further action is required, and, if it is, the nature of such action which may include referring the matter to the Solicitors Disciplinary Tribunal for full disciplinary proceedings.  

How Can We Help You? | Kangs SRA Investigation Defence Solicitors

Facing allegations of professional misconduct can be very daunting, whatever the level of alleged misconduct.

Meticulous consideration of the evidence presented and the strategy to be adopted will be required and we will be able to assist by:

  • considering and reporting upon the alleged misconduct,
  • advising upon and collation of documentation that the SRA have requested,
  • preparing all written representations to the SRA,
  • attending at any interviews requested by the SRA,
  • preparing for and defending all Disciplinary Hearings.  

We welcome new enquiries by telephone or email.

Our team of lawyers is available to meet at our offices in London, Birmingham or Manchester or, alternatively, we are happy to arrange an initial no obligation meeting via telephone or video conferencing.

For initial enquires please contact:

Hamraj Kang
07976 258171 | 020 7936 6396 | 0121 449 9888

John Veale
0161 817 5020  | 020 7936 6396 07989 521 210

Tim Thompson
020 7936 6396 0121 449 9888