Solicitors

Our services for Solicitors

The Law Society is the professional body for solicitors. It represents the interests of its members and works on behalf of the wider public to enhance the rule of law and ensure a strong, effective, independent and diverse profession.

As an approved regulator under the Legal Services Act, the Society has set up the Solicitors Regulation Authority (SRA) to discharge the Society's regulatory responsibilities. In doing so, the SRA acts independently of the Law Society. It makes and enforces the rules which solicitors and organisations regulated by SRA must follow. It works in the public interest to uphold the regulatory objectives in the Legal Services Act. The role of the SRA is to set, promote and secure in the public interest, standards of behaviour and professional performance necessary to ensure clients receive a good standard of service and the rule of law is upheld.

The following are all regulated by the SRA:

• solicitor
• registered European lawyer
• registered foreign lawyer
• recognised body
• recognised sole practitioner
• lawyer or non-lawyer who is a manager or employee of a legal disciplinary practice, or 
• employee of a recognised body or recognised sole practitioner.

The SRA have implemented an Outcomes Focussed Regulatory framework and from 6/10/2011 a New Code of Conduct for solicitors has come into force.

The SRA will investigate any potential non-compliance with these codes of practice whether notification comes from a client/ consumer, member of the public or from another member of the profession.

Failure to cooperate with the SRA in doing so can of itself lead to formal enforcement action, and in serious cases this can be as draconian as Intervention into a Solicitors’ practice.

The SRA will often work in conjunction with the police where there are suspicions regarding monetary transactions or dishonesty on the part of a solicitor and serious breaches of the rules relating to handling of client money.

Professional Misconduct

The conduct of a solicitor both within and outside of his or her practice is expected to remain of the highest standard and any departure from those and which is potentially such as to bring the profession into disrepute will be subject to disciplinary investigation by a caseworker at the SRA.  Serious allegations will be referred to the Solicitors Disciplinary tribunal.

Dishonesty by a solicitor can take many forms, beyond the obvious cases involving fraud or theft or making false representations. If found proven it will save in exceptional cases result in the Solicitors Disciplinary tribunal ( SDT) making an order that a solicitor be struck off the Roll.

Cases where dishonesty is alleged can include situations where inaccurate and misleading information is provided to a client, eg relating to the progress of his or her case and costs, or to a third party eg the Court or the other party.

It can also involve circumstances where you take advantage of a client, eg persuading them to take steps which are not in his or her best interests,

It can include a scenario where you hide secret profits from a client in relation to the work carried out or conceal from them incompetence or negligence on your part or that of a partner or colleague.

It is incumbent on a solicitor to report any circumstances which give rise to suspicions relating to dishonest actions or behaviour or misconduct either on your own part or that of another solicitor.

We act for those facing disciplinary proceedings and in connection with

• interventions
• SRA investigations
• complaints and appeals before Adjudication Panels
• disciplinary proceedings before the Solicitors Disciplinary Tribunal
• applications and appeals to the Divisional Court
• Judicial Review proceedings

We can assist you by providing advice and assistance, drafting representations in connection with any of the above and help you to hang on to your practising certificate and avoid the most serious of sanctions.

Solicitors Disciplinary Tribunal

The SDT currently consists of just over 50 members, approximately two-thirds of whom are solicitors, and each individual tribunal will be made up of two solicitors and one lay member.

The SDT is permitted to take evidence on oath and can, operating through the High Court, issue witness summonses to compel the attendance of witnesses. Orders of the SDT, when files with the SRA, may be enforced as if they were orders of the High Court.

For more information regarding the threshold criteria for referring cases to the SDT see the Code for referral on SRA website.

Cases are conducted by solicitors instructed on behalf of the SRA who prepare the application to the SDT and provide documentary evidence in support of the allegations including a detailed statement.

This is provided to the Clerk of the SDT who determines whether or not there is a case to answer. The rules governing the practice and procedure of the SDT are the Solicitors (Disciplinary Proceedings) Rules 2007.

If the Clerk is satisfied that there is a  case to answer the matter is then timetabled for a pre-listing date and the bundle of papers incorporating the application and evidence in support together with a questionnaire are sent to the respondent Solicitor.

The questionnaire requests details in connection with the extent to which the allegations are admitted or denied and the issues to be determined. The information is collated so as to determine the length of the hearing and evidence to be called so that an appropriate listing can be made. If the questionnaire is returned it can avoid the need for attendance of the parties at the SDT on the pre-listing date.

Hearing

Hearings are usually heard in public unless representations for the matter to remain in private are successful. Such circumstances are rare and may include cases where there are medical or sensitive issues involved. Parties may appear in person or instruct a solicitor or barrister to represent them. Witnesses may be called and evidence adduced. The respondent is not obliged to give a formal answer to any allegations that are made, although it is usually advisable for at least a written statement to be submitted so that the SDT has an understanding of the matters relevant to the Respondent’s case. Iin a complex case the Tribunal may even order that a detailed answer be provided so that the issues may be identified. Parties are also expected to disclose in good time all documents upon which they intend to rely and to co-operate with each other in relation to evidence and statements.

If the Respondent fails to appear at the hearing the SDT may deal with the matter in his or her absence, although a re-hearing may be possible if there was a good reason for the non-attendance.

Normally the SDT will announce its findings at the end of the hearing and, if there is a finding against the respondent, will usually give details of the sanction it intends to impose. Detailed findings and reasons may be provided at a later date – although usually within 8 weeks. Any order which is made takes effect as soon as it is filed with the Law Society – thus if there is a finding leading to a suspension or striking off there may need to be a stay pending an appeal.

Details of any findings and orders will be published on the SRA website.

Sanctions

The powers of the SDT include :

Reprimand

Fine

Suspension

Strike Off

Costs orders

Section 43 Orders- an application can also be made in respect of a person who is employed or remunerated by a solicitor. Section 43 of the Solicitors Act 1974 allows the SRA (as the delegated body of the Law Society) to make an application to the SDT for an order controlling the employment of such a person and the SDT can make an order which gives the SRA control of the future employment of an individual clerk in a solicitor’s practice. Whilst the Order remains in force any solicitor wishing to employ the clerk must first obtain the written consent of the SRA before they can do so.

Applications can also be made to the SDT for restoration to the Roll by solicitors who have been struck off.

Regulatory Settlement Agreements

In appropriate circumstances it might be possible to enter into a regulatory settlement agreement with the SRA where conduct has been referred to them and where admissions are made regarding the same. This can avoid the matter being referred to the SDT for determination.

If you are facing an investigation by the SRA and or the police or if your practice is being or at risk of being intervened, we can assist you.

If you have received notification of an SRA audit and require help please give us a call. We can talk you through the process and do’s and don’ts and act as a barrier between you and your regulator.

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