The Solicitors Disciplinary Tribunal (SDT) plays a central role in regulating the conduct of solicitors and ensuring that the legal profession in England and Wales upholds the highest standards. As an independent statutory tribunal, the SDT adjudicates on cases of alleged misconduct by solicitors, licensed bodies and law firms, to safeguard the public interest and maintain trust in legal services. It has the authority to bring proceedings against solicitors following referrals from the Solicitors Regulation Authority (SRA), with a range of potential sanctions at its disposal, from financial penalties to striking off a solicitor from the roll.

As disciplinary proceedings within the SDT can significantly impact a solicitor’s career and reputation, understanding the process and obtained findings is essential. The SDT operates as a distinct entity from the SRA, allowing for impartial hearings and final decisions. In this guide, we offer an in-depth overview of the SDT, from referral to appeals, to help those involved in or considering an SDT hearing to navigate the process as smoothly as possible.

Read on to learn more, or take a look at the explainer video from JMW's Evan Wright:

What Is the Solicitors Disciplinary Tribunal?

The SDT is an independent body that adjudicates on serious allegations of misconduct involving solicitors and other legal professionals. While the Solicitors Regulation Authority is responsible for investigating and referring cases to the SDT, the tribunal itself is entirely separate from the SRA, which ensures an impartial process. Its core function is to assess whether a solicitor has breached their professional duties and to issue appropriate sanctions if misconduct is proven.

The SDT's jurisdiction extends beyond individual solicitors to include licensed bodies and traditional law firms, ensuring that all participants in the legal profession remain accountable. Tribunal hearings are conducted with both lay members and solicitors or barristers sitting on the panel, which brings a balance of perspectives in evaluating the evidence presented. The SDT follows strict procedures to deliver fairness and transparency, and its decisions can have significant consequences, including financial penalties, suspensions, or even striking a solicitor off the roll.

Unlike the investigatory role of the SRA, the SDT’s focus is solely on the disciplinary proceedings: hearing the case, evaluating evidence, and deciding on the appropriate outcome. Its independence from the SRA provides the basis for an unbiased assessment, and its powers enable it to hold any solicitor found in breach of their professional obligations accountable. Findings from the SDT are typically published for public scrutiny, which reinforces its role in maintaining trust in the legal profession.

Who Can Be Referred to the SDT?

The SDT primarily deals with cases involving solicitors, but its jurisdiction extends to a broader range of legal professionals and entities. Solicitors, law firms and licensed bodies can all be referred to the SDT if they are suspected of serious professional misconduct. Referrals are made by the SRA, which investigates breaches of its regulatory framework; if it determines that a case warrants further action, it refers the matter to the SDT for formal disciplinary proceedings.

A referral to the SDT may occur for a variety of reasons, including:

• Allegations of dishonesty
• Failure to meet regulatory compliance
• Misuse or misappropriation of client funds
• Breaches of ethical standards or professional conduct rules
• Involvement in fraudulent or criminal activities
• Behaviour outside of professional duties that impacts a solicitor’s ability to maintain professional standards
• Misconduct by a member of staff within a law firm
• Actions by professionals within a licensed body that breach legal or ethical standards

Not all cases of misconduct reach the SDT, as the SRA only refers matters where there is a realistic prospect of proving the allegations and where the issue is of sufficient seriousness. Less severe breaches may be dealt with directly by the SRA without escalating to the tribunal. However, for significant breaches, the SDT serves as the final arbiter, deciding whether the conduct in question warrants formal sanctions and penalties.

What Is the SDT Process?

The process at the SDT follows a structured procedure designed to ensure fairness and transparency for all parties involved. Once a referral is made to the SDT, the tribunal oversees the formal disciplinary proceedings from start to finish.

Below is an outline of the key stages in the SDT process:

1. Referral from the SRA: The SRA investigates potential misconduct and, if it finds sufficient evidence, refers the case to the SDT for formal proceedings.
2. Pre-hearing preparations: Before the hearing, both the SRA and the respondent (the solicitor or legal professional facing the allegations) prepare their cases. This involves the submission of evidence, witness statements, and legal arguments. The SDT will also issue a time estimate for how long the hearing is expected to take.
3. Tribunal hearing: The hearing itself is a formal process where both parties present their cases. The SRA, which acts as the prosecutor, outlines the allegations and presents evidence. The respondent then has the opportunity to defend themselves by challenging the evidence, presenting witnesses, and submitting their own testimony. The tribunal, consisting of both legal professionals and lay members, considers all the evidence and arguments presented.
4. Deliberation and decision: Once the hearing concludes, the tribunal deliberates in private to reach its decision. It must determine whether the respondent’s conduct amounted to professional misconduct and, if so, what sanctions are appropriate.
5. Outcome and sanctions: If the tribunal finds the allegations proven, it has the power to impose a range of sanctions. These could include financial penalties, suspension from practice, or in the most serious cases, striking the solicitor off the roll. In some cases, it will require the lawyer to comply with conditions for a defined period. 
6. Publication of findings: Once a decision is made, the SDT publishes its findings, including the outcome of the case and any sanctions imposed. These details are made available to the public on the SDT’s website.
7. Appeals: Both the SRA and the respondent have the right to appeal the tribunal’s decision if they believe it was made in error or the outcome was unjust. Appeals are typically heard by the Administrative Court.

The SDT process is designed to hold solicitors accountable for their actions, while also providing a fair opportunity for the respondent to defend themselves. Given the complexity and potential consequences of the process, it is essential for respondents to be thoroughly prepared and, if necessary, seek legal advice to assist in navigating the proceedings.

What Are the SDT's Powers?

The SDT holds significant authority to impose a wide range of sanctions. Its powers are designed to maintain the integrity of the legal profession and protect the public interest by ensuring that those who breach professional rules and regulations face appropriate consequences.

The key powers of the SDT include:

• Striking off the roll: In the most severe cases, the SDT can order that a solicitor be removed from the roll of solicitors, effectively banning them from practising law in England and Wales. This is typically reserved for instances of serious dishonesty, gross misconduct, or where the solicitor poses an ongoing risk to clients or the public.
• Suspension: At the tribunal's order, a solicitor’s right to practise can be suspended for a specified period. This sanction may be imposed for serious misconduct that falls short of warranting a full striking off but where the solicitor’s behaviour still requires them to be temporarily removed from the profession.
• Financial penalties: The SDT can impose fines on solicitors or firms found guilty of misconduct. These penalties vary depending on the severity of the misconduct and the circumstances of the case.
• Reprimands or warnings: In cases where the misconduct is deemed less severe, the SDT may issue a formal reprimand or warning. This can serve as a record of the solicitor’s wrongdoing without restricting their right to practise.
• Conditions on practice: The SDT can impose conditions on a solicitor’s ability to continue practising. For example, it may require a solicitor to undergo additional training, restrict certain types of legal work, or impose supervisory conditions on their practice.
• Remedial actions: In some cases, the tribunal may order that the solicitor take specific steps to remedy their misconduct, such as compensating clients, attending ethics courses, or improving internal procedures at their firm.
• Costs orders: The SDT can order the respondent to pay the costs of the proceedings, either fully or partially. This often includes the legal costs incurred by the Solicitors Regulation Authority in bringing the case. In some situations, even if the solicitor is not found guilty of the allegations, they may still be required to contribute to the costs, depending on their conduct during the proceedings.

These powers allow the SDT to impose sanctions that are proportionate to the nature of the misconduct, to keep the disciplinary system fair but firm. The tribunal’s decisions aim to both punish wrongdoing and protect the public by preventing further misconduct from occurring within the legal profession.

How to Appeal an SDT Decision

If a solicitor, law firm, or licensed body is dissatisfied with the outcome of an SDT hearing, they have the right of appeal against the decision. The appeal process provides an opportunity to challenge the tribunal’s findings, the sanctions imposed, or both.

An appeal is not simply a chance to disagree with the SDT's decision. It must be grounded in legitimate concerns, such as errors in law or procedural unfairness during the tribunal process. There are several specific grounds on which an appeal may be based, such as:

• Errors in applying the law or incorrect interpretation of legal principles.
• Procedural irregularities that affected the fairness of the hearing.
• Unreasonable or disproportionate sanctions imposed by the SDT.
• New evidence that could not reasonably have been presented at the original hearing.

Appeals against SDT decisions are heard by the Administrative Court, a division of the High Court. The appeal process is governed by strict rules, and appellants must follow the required procedures to submit their case. Typically, an appeal must be lodged within 21 days from the date the SDT’s final decision is issued. Failing to submit an appeal within this timeframe may result in the loss of the right to appeal.

To begin the appeal, the appellant (the solicitor or party appealing the decision) must file a notice of appeal with the Administrative Court. This notice should outline the grounds of appeal and include relevant supporting documents, such as the SDT’s judgment and any new evidence being presented.

During the appeal hearing, both the appellant and the SRA have the opportunity to present their arguments. The court will assess whether the SDT’s decision was correct in law and whether any procedural errors occurred that could have affected the outcome. The court may also consider the reasonableness of the sanctions imposed by the SDT.

An appeal can lead to a number of outcomes:

• Upholding the SDT decision: The court may decide that the SDT acted correctly and dismiss the appeal, leaving the original decision and sanctions intact.
• Amending the sanctions: The court may find that the SDT’s sanctions were too harsh or lenient and adjust them accordingly.
• Overturning the decision: In some cases, the court may rule that the SDT’s findings were flawed or unjust and overturn the original decision. This could result in the solicitor being exonerated.
• Remitting the case back to the SDT: The court may send the case back to the SDT for reconsideration, either with new instructions or for a rehearing if procedural errors were found.

The costs of appealing an SDT decision can be significant. If the appeal is unsuccessful, the appellant may be ordered to pay the legal costs incurred by the SRA in defending the decision, as well as their own legal fees. As such, those facing an appeal must weigh the potential benefits against the costs and challenges involved.

Seeking Legal Support for an SDT Hearing

Facing an SDT hearing can be a daunting experience, with serious implications for a solicitor’s career and reputation. Seeking professional legal support is vital to mounting a well-prepared and robust defence.

At JMW, our experienced team provides comprehensive guidance throughout the SDT process, from responding to the initial allegations to representing clients during hearings. By working with JMW, solicitors can rely on expert advice tailored to their specific case, whether it involves defending against allegations, negotiating sanctions, or preparing for appeals. Our team’s deep knowledge of regulatory and disciplinary matters helps us to deliver the best possible representation for our clients.