Professional Defence Solicitors for the Legal Sector

If you or your law firm is facing an investigation for alleged breaches of the Solicitors Regulation Authority (SRA) Codes of Conduct, Principles, Account Rules, or other professional requirements, securing expert legal assistance is vital. Whether the SRA intends to visit your practice, has already intervened, or has raised concerns about your compliance, our team of specialist SRA defence solicitors is here to help.

At JMW Solicitors, we provide robust representation for solicitors and legal professionals subject to SRA investigations or prosecutions, ensuring your case is handled with the utmost care and expertise. Our team offers support at every stage, including appeals against Solicitors Disciplinary Tribunal (SDT) decisions, to safeguard your professional reputation and career.

To discuss the allegations against you or your firm, or to address concerns regarding your compliance, call us on 0345 872 6666, or fill in our online enquiry form. For urgent matters, our solicitors are available through our 24-hour legal helpline.

Our SRA Defence Services

At JMW Solicitors, we understand the complexity and high stakes involved when a solicitor or law firm faces an SRA investigation. Our specialist team offers comprehensive defence services to protect your career, reputation and practice. With years of experience representing solicitors in regulatory matters, we provide expert guidance and legal services throughout every stage of the SRA investigation process:

• Initial advice and risk management: we offer early, strategic advice to minimise the impact of an investigation. Whether you are responding to concerns raised by the SRA or preparing for a potential visit, our lawyers make sure that you take the right steps from the outset to protect your position.
• Responding to SRA investigations: we assist with preparing formal responses to SRA enquiries, helping you navigate issues such as alleged breaches of the SRA Principles, Accounts Rules, or Money Laundering Regulations. Our team advises on drafting correspondence that accurately addresses the concerns raised, ensuring your response is both clear and compliant.
• Regulatory Settlement Agreements (RSAs): where appropriate, we negotiate RSAs with the SRA, seeking to resolve matters without the need for an SDT hearing. This approach helps avoid more severe outcomes while protecting your career and practice.
• Representation at the Solicitors Disciplinary Tribunal (SDT): if your case is referred to the SDT, our solicitors offer robust representation throughout the SDT proceedings, from preparing your case to defending you at a full SDT hearing. We will challenge the evidence, cross-examine witnesses, and present a strong defence on your behalf.
• Appeals against tribunal decisions: should the Solicitors Disciplinary Tribunal issue a decision that adversely affects your professional standing, we provide expert advice and representation to appeal that decision, working towards a more favourable outcome.

At JMW, we work tirelessly to ensure that your defence is thorough, proactive and tailored to your specific situation. When you seek legal advice from JMW, our goal will always be to help solicitors, law firms and other relevant individuals resolve their SRA regulatory issues efficiently, while mitigating risks to your professional future.

What Are the Common Reasons for Solicitors to Face Investigation?

As the solicitors' regulatory authority governing professional standards for legal service providers in the UK, the SRA may choose to investigate solicitors and law firms for a variety of reasons.

The SRA may conduct an investigation when they have reason to believe that a solicitor, an employed non-admitted person or firm is failing to comply with the principles and requirements set out in the SRA Handbook. Understanding the common issues that can lead to an investigation is crucial for preventing or managing these situations effectively:

• Breaches of the SRA Code of Conduct: the SRA Code of Conduct sets out the ethical and professional standards expected of solicitors and law firms. Violations such as failing to uphold the public trust, acting without integrity, or failing to treat colleagues and clients fairly can result in regulatory action.
• Financial misconduct: non-compliance with the SRA Accounts Rules is a frequent cause of investigation. This can include the improper handling of client money, failing to keep accurate records, or mismanaging client accounts. Solicitors may also face scrutiny over alleged breaches of money laundering regulations, which require law firms to implement stringent anti-money laundering (AML) measures.
• Conflicts of interest: solicitors must manage conflicts of interest carefully to ensure they are acting in their clients' best interests. Failing to appropriately handle these conflicts can lead to concerns being raised and potential SRA enforcement action.
• Client complaints and allegations of poor service: a complaint to the Legal Ombudsman or directly to the SRA from a client, alleging poor service, neglect or unprofessional behaviour, can trigger an investigation. The SRA takes these concerns seriously, particularly where public trust is at risk.
• Failure to meet CPD requirements: solicitors are required to complete Continuing Professional Development (CPD) to maintain their practising certificates. Failing to meet these requirements can lead to further action by the SRA, especially if it indicates a lack of competency.
• Misuse of client money: allegations of solicitors improperly using or misappropriating client money are treated seriously. Investigations can result in severe penalties, including being struck off the roll or suspended from practising.
• Self-reporting: solicitors are sometimes required to self-report potential breaches of SRA standards. Failing to report, or under-reporting, can exacerbate the situation and result in more serious penalties.

JMW Solicitors has extensive experience helping legal professionals address these types of issues. If you believe you or your firm may be under investigation, or if you have received notice from the SRA, it is essential to seek specialist advice immediately to mitigate the risks to your career and reputation.

What Are the Potential Outcomes of an SRA Investigation?

An investigation by an SRA investigation officer can result in a variety of outcomes, depending on the nature and seriousness of the alleged breach of professional conduct. The SRA has wide-ranging powers to impose sanctions and refer cases to the SDT if necessary. Understanding these potential outcomes is essential for legal professionals facing scrutiny, as the consequences can have significant effects on your career and practice:

• Fines: in cases where breaches of the SRA Code of Conduct or Accounts Rules are proven but not severe enough for a tribunal referral, the SRA may issue a fine. While financial penalties can be preferable to more severe sanctions, they can still damage your professional reputation.
• Issuing a warning or advice: for less serious breaches, the SRA may issue a formal warning or offer advice. This is often a more lenient outcome, but it can still have a negative impact on your standing within the legal community. These warnings are also noted on your record, which could affect your future career.
• Restrictions on practising certificates: in some cases, the SRA may impose restrictions on your practising certificate. This could include limiting the type of work you can undertake or imposing supervision requirements. Restrictions can also prevent solicitors from working in specific areas of law, which may impact the overall viability of a practice.
• Referral to the SDT: if the SRA believes that the breach is serious enough to warrant further action, your case may be referred to the SDT. The tribunal will consider the evidence and make a decision on whether the allegations are proven, with a range of sanctions available, including suspension or being struck off.
• Being struck off the roll: this is one of the most severe penalties, and means that the solicitor is no longer authorised to practise. This often occurs in cases involving serious breaches, such as fraud, dishonesty, or significant mismanagement of client funds.
• Suspension from practising: the SDT also has the power to suspend solicitors from legal practice, either for a set period or indefinitely. A suspension can have a devastating impact on a solicitor's career, often leading to loss of employment and long-term damage to professional reputation.
• Unlimited fines: in more serious cases that reach the SDT, the tribunal can impose unlimited fines. These can be financially crippling, especially for smaller firms, and may accompany other sanctions like suspension or restrictions.
• Agreed outcome with the SRA: in some situations, legal professionals may reach an agreed outcome with the SRA, where sanctions are agreed upon without the need for a full tribunal hearing. JMW Solicitors can assist with negotiating such settlements, helping to secure the most favourable outcome possible.
• Restoration to the roll: in certain circumstances, solicitors who have been struck off may apply to be restored to the roll after a period of time. However, this is a complex process that requires the solicitor to demonstrate they are fit to return to practice.

At JMW Solicitors, we work closely with our clients to understand their specific situation and mitigate the risks of severe penalties. Whether you are facing a fine, tribunal referral, or restrictions on your practising certificate, our SRA defence lawyers are here to provide expert representation and advice.

How Can JMW Help with SRA Defence?

At JMW Solicitors, we provide expert legal support to solicitors and law firms facing SRA investigations in a number of ways:

Responding to a Rule 5 statement

A Rule 5 statement is a formal notification from the SRA outlining the allegations against you and requesting a response. The importance of a well-prepared response cannot be overstated, as it plays a central role in how the SRA will proceed with the investigation.

Our solicitors assist in drafting clear, detailed responses that address each allegation comprehensively, helping to clarify your position and reduce the risk of escalation. We offer robust representation at all stages of an investigation, disciplinary tribunals and appeals based on tribunal decisions. Our experts can advise on the drafting of correspondence and reports, and can assist in a number of areas:

Negotiating RSAs

In many cases, it may be possible to negotiate a Regulatory Settlement Agreement with the SRA. This can resolve the matter without the need for a tribunal hearing, saving you time, money, and potential damage to your career. Our team works closely with you to explore all available options and negotiate a settlement that is fair and minimises penalties, including avoiding more severe sanctions like suspension or referral to the tribunal.

Negotiating an agreed outcome with the SRA

For some solicitors, negotiating an agreed outcome with the SRA is the best way to bring the investigation to a swift conclusion. This involves reaching a mutually acceptable resolution with the SRA, which may include accepting certain sanctions in exchange for avoiding a full tribunal process. Our experienced solicitors have a track record of successfully negotiating favourable outcomes, ensuring that your interests are protected.

Representation at the Solicitors Disciplinary Tribunal

If your case is referred to the SDT, we provide full representation throughout the proceedings. Our team prepares meticulously for tribunal hearings, gathering and presenting evidence, cross-examining witnesses, and mounting a strong defence. We have extensive experience in defending solicitors before the SDT and aim to achieve the best possible result, whether that involves challenging the evidence or mitigating potential sanctions.

Appeals against tribunal decisions

If you receive an unfavourable decision from the SDT, it’s important to know that you have the right to appeal. JMW’s solicitors can advise you on the strength of your case and represent you throughout the appeals process, working to overturn or reduce the impact of the tribunal’s decision.

If your case is not handled correctly, it is very difficult for professionals to recover from the serious reputational damage this can cause. If you are being investigated on a professional level, or if the SRA questions the conduct of the firm itself, it is vital to seek legal assistance as soon as possible.

Our service is focused on the concept of protecting, preventing and defending by assisting in the avoidance and solving of problems at the earliest possible stage. We have been representing fellow legal professionals for decades and understand that lawyers facing professional misconduct investigations will want to keep up to date with proceedings, which is why we arrange regular team meetings.

In suitable cases, we have the option of appointing experts from other departments at JMW, including the family, media, reputational management and employment teams, to support your case.