Solicitors Regulation Authority (SRA) investigations

An investigation into the conduct of the firm or an individual by the SRA can be stressful.  They can cover a wide variety of issues.  Recent examples where we have advised have included anti-money laundering compliance breaches, use of client account as a banking facility, contempt of court, inadvertent loss of SRA authorisation, misleading correspondence, inadequate supervision of rogue staff, and accounts breaches committed in firms which have been taken over.

We are practising solicitors with a detailed knowledge and understanding of the regulatory framework and rules – not only those which apply now but those which have applied historically, which can be vital when defending historic breaches.  As we are practising solicitors, our legal advice on regulatory issues will generally be protected by legal professional privilege.

Our experience covers advice to the spectrum of the legal profession – international firms, City firms, regional and high street practices, and in house.

We have a high degree of success in defending cases, but, where needed, we also have experience of the Solicitors Disciplinary Tribunal.

Key Contact

Frank Maher

For specialist legal advice on Solicitors Regulation Authority (SRA) investigations please contact Frank.

0345 330 6791 Frank.Maher@legalrisk.co.uk

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