Receiving notice that the Solicitors Regulation Authority (SRA) is investigating your firm can be alarming, but how you respond in the first days and weeks is critical. The SRA has wide-ranging powers to investigate, impose conditions, levy fines, refer matters to the Solicitors Disciplinary Tribunal (SDT), and in the most serious cases intervene directly in your practice.

This guide explains what to expect at each stage, your legal obligations during an investigation, and what options you have if the SRA takes action against you or your firm.

When this applies

This guide applies if you are a manager, partner, director, or Compliance Officer for Legal Practice (COLP) at an SRA-regulated firm in England and Wales and you have received any of the following:

A letter or email from the SRA requesting information or documents
Notice of a desk-based investigation or thematic review
Notice of a visit or inspection
A Section 44B notice (investigation into suspected dishonesty or other serious matters)
Notice of proposed regulatory action (conditions, rebuke, fine, or referral to SDT)
Notice of intervention

SRA enforcement strategy

The Solicitors Regulation Authority's enforcement strategy: proportionate, risk-based approach to regulatory and disciplinary decisions, including fixed penalties, conditions, rebukes, referral to the Solicitors Disciplinary Tribunal, publication policy, and early resolution discounts.

The SRA operates a proportionate, risk-based enforcement strategy focused on protecting the public, maintaining confidence in the profession, and upholding professional standards. The strategy applies to all individuals and firms regulated by the SRA in England and Wales under the Legal Services Act 2007 and the Solicitors Act 1974.

Proportionate, risk-based approach

The SRA assesses every matter against the seriousness of the conduct, the risk of harm to the public, and the public interest in taking action. Not every breach leads to formal enforcement. The SRA may take no further action where the matter is minor, the individual or firm has already taken appropriate remedial steps, or the risk of future harm is low. The SRA aims to use the least restrictive means necessary to achieve its regulatory objectives.

Regulatory and disciplinary decisions

The SRA distinguishes between regulatory decisions (made internally by SRA decision-makers) and disciplinary proceedings (prosecuted before the Solicitors Disciplinary Tribunal). Regulatory decisions include fixed penalties, conditions on practising certificates or authorisations, written rebukes, and section 43 orders preventing employment without SRA approval. The SRA refers the most serious matters to the SDT, which has the power to strike off, suspend, impose unlimited fines, and impose conditions.

Fixed penalties

The SRA operates a fixed penalty scheme for certain specified regulatory breaches that are straightforward and do not involve dishonesty or significant harm. Fixed penalties range from GBP 750 to GBP 2,000 depending on the nature of the breach and whether it relates to an individual or a firm. Examples of breaches attracting fixed penalties include: failure to notify material changes to firm details within the required timeframe; failure to respond to SRA information requests within the specified deadline; and certain breaches of continuing competence requirements. Fixed penalties are published on the SRA's website.

Conditions

The SRA may impose conditions on an individual's practising certificate or registration, or on a firm's authorisation. Conditions restrict what the individual or firm can do and are used where there is a specific, identifiable risk that can be mitigated. Examples include: requiring supervision of client account transactions; prohibiting holding client money; restricting practice areas; and requiring completion of specific training. Conditions remain in place until the SRA is satisfied the risk has been addressed.

Rebuke

A written rebuke is a formal record of the SRA's finding that the individual or firm has breached its regulatory obligations. A rebuke does not restrict practice but is published on the SRA's website and forms part of the individual's or firm's regulatory record. A rebuke is appropriate where the breach is proven and sufficiently serious to warrant a formal finding, but not so serious as to require a financial penalty or referral to the SDT.

Referral to the Solicitors Disciplinary Tribunal

The SRA refers matters to the SDT where the conduct is so serious that the SRA's own powers are insufficient. This includes cases involving dishonesty, serious financial impropriety, sexual misconduct, discrimination, and persistent or repeated breaches. The SDT is an independent tribunal with the power to strike solicitors off the Roll, suspend them, impose unlimited fines, impose conditions, and order costs. SDT proceedings are conducted in public and decisions are published.

Publication policy

The SRA publishes regulatory decisions on its website to promote transparency and maintain public confidence. Published decisions include the name of the individual or firm, the nature of the finding, and the sanction imposed. Decisions are published indefinitely for the most serious matters (strike off, suspension, SDT orders) and for a defined period for less serious matters. Rebukes and financial penalties are typically published for a minimum of three years. The SRA may withhold publication in exceptional circumstances, such as where publication would pose a risk to the safety of an individual.

Early resolution discount

The SRA offers a discount of up to 40 per cent on financial penalties where an individual or firm admits the breach at an early stage of the investigation. The maximum 40 per cent discount applies where the admission is made at the earliest opportunity, before the SRA has needed to carry out a substantive investigation. The discount reduces on a sliding scale as the investigation progresses. No discount is available once the matter has been referred to the SDT. The early resolution process is designed to encourage prompt cooperation and to reduce the cost and duration of enforcement proceedings for all parties.

Enforcement approach: Proportionate and risk-based — least restrictive means to achieve regulatory objectives
Fixed penalty range: GBP 750 to GBP 2,000 depending on breach type and whether individual or firm
Early resolution discount (maximum): Up to 40% reduction on financial penalties for early admission
Rebuke publication period: Minimum 3 years on SRA website
SDT powers: Strike off, suspension, unlimited fines, conditions, costs orders
Publication policy: Decisions published on SRA website; indefinite for serious matters, minimum 3 years for rebukes/penalties

Types of SRA investigation

The SRA uses a risk-based approach to enforcement. Not every contact from the SRA means your firm is in serious trouble. Understanding the type of investigation helps you gauge the severity and respond appropriately.

Information requests and desk-based reviews

The SRA may write to request specific documents or data. This is the most common form of regulatory contact and may arise from a routine thematic review (for example, reviewing all firms that handle client money), a report from a third party, or data from the Legal Ombudsman. At this stage, the SRA is gathering facts and has not necessarily concluded that anything is wrong.

Visits and inspections

The SRA may visit your office to review files, interview staff, and inspect systems. Visits may be announced or unannounced. Announced visits usually come with a letter setting out the scope and what to prepare. Unannounced visits are reserved for more serious concerns, typically where the SRA suspects evidence may be destroyed or where there is an immediate risk to client money or the public.

Forensic investigations

Where the SRA suspects dishonesty, serious financial irregularity, or other grave misconduct, it may appoint forensic investigators. These investigations are more intensive and may involve external accountants reviewing your client account. A forensic investigation is a strong signal that the SRA is considering serious sanctions.

Your cooperation obligations

Paragraph 7.3 of the SRA Code of Conduct for Firms requires you to cooperate with the SRA, the Legal Ombudsman, and other regulators in an open, timely, and effective manner. This is a mandatory obligation, not a request.

What cooperation means in practice:

Respond to all SRA correspondence within the deadline given (typically 14 to 28 days)
Provide all documents and information requested, even if you consider them irrelevant
Make staff available for interview when asked
Allow access to your premises and systems during visits
Do not destroy, alter, or conceal documents
Do not attempt to prevent anyone (including employees) from reporting concerns to the SRA

Failing to cooperate is a separate disciplinary matter in its own right and is likely to make the SRA's response more severe. Even if you believe the investigation is unfounded, you must cooperate while challenging the SRA's conclusions through the proper channels.

1. Read the SRA's notice carefully and note all deadlines

Identify exactly what the SRA is asking for, the scope of the investigation, the deadline for your response, and the name and contact details of the investigating officer. Calendar every deadline immediately. Missing a deadline without good reason counts as non-cooperation.
2. Notify your professional indemnity insurer

Contact your PI insurer as soon as you receive notice of an SRA investigation. Most policies require prompt notification of regulatory proceedings. Failure to notify may prejudice your cover. Your insurer may also fund or contribute towards the cost of specialist legal representation.
3. Instruct a specialist regulatory defence solicitor

Do not attempt to handle a significant SRA investigation yourself. Regulatory defence is a specialist area. A regulatory defence solicitor can advise on the scope of your obligations, review your response before it is sent, attend SRA interviews with you, and represent you in any subsequent proceedings. If you cannot identify a specialist, the Law Society maintains a find-a-solicitor service, or ask your PI insurer for recommendations. Some PI policies include a regulatory defence costs extension. Do not instruct someone from within your own firm — you need independent advice, and the SRA may view self-representation as a sign that you do not appreciate the seriousness of the matter.
4. Preserve all relevant documents and communications

As soon as you are aware of an investigation, issue a document preservation notice to all staff. This covers paper files, emails, text messages, electronic documents, and backup systems. Destroying or altering documents during an investigation is extremely serious and may result in criminal charges for perverting the course of justice, in addition to regulatory sanctions.
5. Prepare your response with your regulatory defence solicitor

Gather the documents and information requested. Your solicitor will help you draft a response that is cooperative, accurate, and does not inadvertently make admissions or concessions that are not justified. Be factual and complete. Do not speculate or offer opinions unless specifically asked.
6. Cooperate with interviews and visits

If the SRA asks to interview you or visit your premises, arrange this within the timeframe requested. You may have your regulatory defence solicitor present during interviews. Answer questions honestly. If you do not know the answer to a question, say so rather than guessing.

SRA fining powers

SRA fining powers for individuals and firms, including the GBP 25,000 limit for traditional solicitor practices, the GBP 250 million limit for licensed bodies and alternative business structures under the Legal Services Act 2007, aggravating and mitigating factors, and early resolution discounts.

The SRA has the power to impose financial penalties on individuals and firms it regulates. The fining limits differ depending on whether the regulated entity is a traditional solicitor practice (recognised body) or a licensed body (alternative business structure). These powers are derived from the Solicitors Act 1974 and the Legal Services Act 2007.

Fining limits for individuals

The SRA may impose a financial penalty of up to GBP 25,000 on an individual solicitor, registered European lawyer, or registered foreign lawyer. This limit is set by section 44D of the Solicitors Act 1974 (as amended). Where the SRA considers that a fine exceeding GBP 25,000 is warranted, it must refer the matter to the Solicitors Disciplinary Tribunal, which has unlimited fining powers.

Fining limits for recognised bodies (traditional firms)

The SRA may impose a financial penalty of up to GBP 25,000 on a recognised body (a traditional law firm authorised under section 9 of the Administration of Justice Act 1985). As with individuals, if the SRA considers a higher fine is warranted, the matter must be referred to the SDT.

Fining limits for licensed bodies (ABS)

Since March 2022, the SRA may impose financial penalties of up to GBP 250 million on licensed bodies (alternative business structures authorised under Part 5 of the Legal Services Act 2007). This significantly higher limit was introduced by the Legal Services Act 2007 (Approved Regulators — Maximum Penalty) Order 2022. The SRA may also fine managers and employees of licensed bodies up to GBP 250 million. This power is derived from section 95 of the Legal Services Act 2007.

Aggravating factors

The SRA's sanctions guidance identifies the following aggravating factors that may increase the level of a financial penalty:

Dishonesty: any element of dishonesty or lack of integrity in the conduct.
Harm caused: actual financial or other harm to clients, third parties, or the public.
Vulnerability: the victim was vulnerable (elderly, lacking mental capacity, non-English speaking).
Repeat conduct: the individual or firm has a history of similar regulatory breaches or has been previously warned or sanctioned.
Deliberate conduct: the breach was calculated, planned, or involved a pattern of behaviour over time.
Failure to cooperate: failure to cooperate with the SRA's investigation, or failure to self-report.
Senior position: the individual held a senior position within the firm and should have known better or had supervisory responsibility.
Financial gain: the individual or firm obtained a financial benefit from the breach.

Mitigating factors

The SRA's sanctions guidance identifies the following mitigating factors that may reduce the level of a financial penalty:

Cooperation: full and frank cooperation with the SRA's investigation from the outset.
Remedial steps: prompt action taken to remedy the breach and prevent recurrence, including compensating affected clients.
Early admission: accepting responsibility for the breach at the earliest opportunity.
No prior regulatory history: a clean regulatory record with no previous findings against the individual or firm.
Personal mitigation: relevant personal circumstances such as ill health, bereavement, or other exceptional pressures, where these contributed to the breach.
Inexperience: lack of experience or inadequate supervision, where the individual was newly qualified or in an unfamiliar area of practice.

Early resolution discount

The SRA offers a discount of up to 40 per cent on financial penalties where the individual or firm admits the breach at an early stage. The maximum discount of 40 per cent applies where the admission is made at the earliest opportunity, before the SRA has needed to carry out a substantive investigation. The discount reduces as the investigation progresses: typically 30 per cent after initial investigation, 20 per cent after full investigation, and 10 per cent at the decision stage. No early resolution discount is available once the matter has been referred to the SDT.

How fines are determined

The SRA applies a structured approach to setting the level of a financial penalty. It considers: the seriousness of the breach; the culpability of the individual or firm; the harm caused or risked; any aggravating or mitigating factors; the need for deterrence (both specific and general); the financial means of the individual or firm (where information is available); and any applicable early resolution discount. The SRA publishes its fining decisions, including the amount and the reasons, on its website.

Maximum fine — individuals: GBP 25,000 (Solicitors Act 1974, section 44D)
Maximum fine — recognised bodies (traditional firms): GBP 25,000 (Administration of Justice Act 1985)
Maximum fine — licensed bodies/ABS: GBP 250 million (Legal Services Act 2007, section 95; since March 2022)
Maximum fine — managers/employees of licensed bodies: GBP 250 million (Legal Services Act 2007, section 95)
SDT fining power: Unlimited (matters referred by SRA where GBP 25,000 limit insufficient)
Early resolution discount — earliest admission: Up to 40% reduction
Early resolution discount — after initial investigation: Typically 30% reduction
Early resolution discount — after full investigation: Typically 20% reduction
Early resolution discount — at decision stage: Typically 10% reduction
Key aggravating factors: Dishonesty, harm caused, vulnerability of victim, repeat conduct, failure to cooperate, financial gain
Key mitigating factors: Cooperation, remedial steps, early admission, clean record, personal circumstances, inexperience

Possible outcomes of an SRA investigation

After completing its investigation, the SRA may take one or more of the following actions, depending on the seriousness of its findings:

No further action

The SRA may close the matter with no action if it finds no breach or only minor issues that do not warrant formal action. You will receive written confirmation.

Letter of advice or warning

For low-level breaches, the SRA may issue a written warning or advice letter. This is not a formal sanction but is recorded on the SRA's files and may be taken into account if further issues arise.

Regulatory settlement agreement

The SRA may propose a settlement agreement where you accept specified findings and sanctions without a contested hearing. This can be quicker and less costly than contested proceedings but results in a published outcome. Take legal advice before agreeing to any settlement.

Conditions on your practising certificate or firm authorisation

The SRA can impose conditions restricting how you practise. For example, the SRA might require you to submit to supervision, prohibit you from holding client money, or restrict the types of work you can undertake. Conditions are published on the SRA's register.

Financial penalty (fine)

The SRA can impose fines of up to £25,000 on individuals and up to £250,000 on firms. For amounts above these limits, the SRA must refer the matter to the SDT, which has unlimited fining powers.

SRA disciplinary and enforcement powers

Solicitors Regulation Authority (SRA) disciplinary and enforcement powers including fines, conditions on practising certificates, rebukes, fixed penalties, referral to the Solicitors Disciplinary Tribunal (SDT), interventions, strike off, and publication policy. Covers the increased fining powers effective from March 2022.

The Solicitors Regulation Authority (SRA) has a range of disciplinary and enforcement powers to deal with solicitors, RELs, RFLs, and SRA-regulated firms that breach the SRA Standards and Regulations. The SRA's enforcement strategy is risk-based and proportionate, with the aim of protecting the public and maintaining confidence in the profession. The SRA's powers derive from the Solicitors Act 1974, the Administration of Justice Act 1985, and the Legal Services Act 2007.

At the lower end of the scale, the SRA can issue a written rebuke, which is a formal record of unsatisfactory conduct. Rebukes are published on the SRA's website. For minor regulatory breaches, the SRA can issue fixed penalties without a full investigation. The SRA may also agree an early resolution with the regulated person, which can include an agreed outcome such as a fine, conditions, or undertakings. An early resolution may attract a discount on the financial penalty.

The SRA can impose fines of up to GBP 25,000 on individuals (solicitors, RELs, RFLs) and up to GBP 250 million on SRA-authorised firms. The increased firm fining cap of GBP 250 million took effect on 28 March 2022, replacing the previous cap of GBP 2,000 for traditional law firms. This significant increase was introduced to give the SRA a credible deterrent against serious misconduct by firms, reducing the need for costly referrals to the Solicitors Disciplinary Tribunal (SDT).

The SRA can impose conditions on a solicitor's practising certificate or a firm's authorisation. Conditions may restrict the areas of law the person can practise, require supervision, prohibit handling client money, or impose other limitations. Conditions can be imposed as an interim measure pending investigation or as a final outcome.

For the most serious matters, the SRA refers cases to the Solicitors Disciplinary Tribunal (SDT). The SDT is an independent tribunal that can impose unlimited fines, suspend solicitors from practice, and strike solicitors off the roll (permanently removing them from the profession). The SDT can also make costs orders against the respondent. The SRA can also carry out an intervention into a firm, taking control of client files and money where there is a risk to clients or the public. Interventions are used in the most serious cases, such as suspected dishonesty or abandonment of practice.

The SRA publishes details of regulatory decisions including rebukes, fines, conditions, SDT referrals, and interventions on its website. Publication is the default position for most disciplinary outcomes, though the SRA may withhold publication in limited circumstances (such as where the regulated person has a health condition). Published decisions remain on the SRA website indefinitely.

Regulator: Solicitors Regulation Authority (SRA)
Legal basis: Solicitors Act 1974, Administration of Justice Act 1985, Legal Services Act 2007
Fine cap - individuals: GBP 25,000 (solicitors, RELs, RFLs)
Fine cap - firms: GBP 250,000,000 (SRA-authorised firms, effective 28 March 2022)
Previous firm fine cap: GBP 2,000 (traditional law firms, before March 2022)
Written rebuke: Formal record of unsatisfactory conduct; published on SRA website
Fixed penalties: Available for minor regulatory breaches without full investigation
Early resolution discount: Agreed outcomes may attract a reduction in financial penalty
Conditions on practising certificate: SRA can restrict areas of practice, require supervision, prohibit handling client money, or impose other limitations
Conditions - interim: Conditions can be imposed as an interim measure pending investigation
SDT referral: Serious matters referred to the Solicitors Disciplinary Tribunal (independent tribunal)
SDT powers - fines: Unlimited fines
SDT powers - suspension: Suspend solicitors from practice for a fixed period
SDT powers - strike off: Remove solicitors from the roll permanently (strike off)
SDT powers - costs: SDT can make costs orders against the respondent
Intervention: SRA can intervene into a firm, taking control of client files and money where there is serious risk to clients or the public
Intervention triggers: Suspected dishonesty, abandonment of practice, failure to comply with SRA requirements, risk to client money
Publication policy: Default position is publication of all disciplinary outcomes on SRA website; decisions remain published indefinitely
Publication exceptions: SRA may withhold publication in limited circumstances such as health conditions
Jurisdiction: England and Wales

Referral to the Solicitors Disciplinary Tribunal

For serious matters, the SRA refers cases to the SDT. The SDT is an independent tribunal that can impose unlimited fines, suspend solicitors, strike them off the roll, or impose conditions. SDT proceedings are formal and adversarial, with the SRA acting as prosecutor. You will need legal representation.

SDT hearings are held in public and decisions are published. A finding of misconduct by the SDT is extremely damaging to a solicitor's career and reputation.

SRA intervention powers

SRA powers to intervene into a solicitor's practice or a regulated firm, including grounds for intervention under Schedule 1 of the Solicitors Act 1974, consequences for the firm and its clients, the intervention process, and routes for challenging an intervention in the High Court.

The SRA has the power to intervene into a solicitor's practice or an SRA-authorised firm under Schedule 1 of the Solicitors Act 1974. Intervention is the most serious enforcement action the SRA can take and is used where there is an immediate risk to clients or to the public interest. An intervention effectively closes the practice and places its affairs under the control of the SRA.

Grounds for intervention

The SRA may intervene where one or more of the following grounds under Schedule 1 of the Solicitors Act 1974 are established:

Dishonesty: the SRA has reason to suspect dishonesty on the part of the solicitor, an employee of the solicitor, or a manager or employee of the firm in connection with the practice or in connection with any trust of which the solicitor is or was a trustee.
Failure to comply: the solicitor or firm has failed to comply with rules made under sections 31, 32, 33A, 34, 36, or 37 of the Solicitors Act 1974 (including the SRA Accounts Rules and indemnity rules).
Insolvency: the solicitor or firm has become insolvent, entered administration, gone into liquidation, or a winding-up order has been made against it.
Undue delay: there has been undue delay in connection with any matter in which the solicitor or firm is or was acting, and the SRA is satisfied that the circumstances are such that it is necessary to intervene.
Abandonment: the practice has been abandoned or the solicitor has ceased to practise without making adequate arrangements for the protection of clients.
Practising certificate issues: the solicitor's practising certificate has been suspended or the solicitor has been struck off the Roll.

Consequences of intervention

When the SRA intervenes, the practice is immediately closed. The principal consequences are:

Client files transferred: all client files, documents, and records are taken into the possession of the SRA's appointed intervention agent (typically another law firm). The intervention agent manages the orderly transfer of client matters to other solicitors chosen by the clients.
Client money frozen: all client account funds held by the firm are frozen. The SRA applies to the High Court under paragraph 6 of Schedule 1 for a vesting order to transfer client money to the SRA for distribution to clients.
Undertakings: outstanding professional undertakings given by the firm remain enforceable. The SRA works to identify and where possible fulfil or discharge outstanding undertakings, though this is not always possible.
Practice closed: the firm can no longer carry on reserved legal activities. All practising certificates of solicitors within the firm may be suspended.
Statutory trust: client money and documents held by the firm become subject to a statutory trust under Schedule 1 of the Solicitors Act 1974.

Intervention process

The SRA typically notifies the solicitor or firm of the intention to intervene, though it may intervene without prior notice where there is an immediate risk (for example, suspected dishonesty or risk of client money being dissipated). The SRA passes a resolution to intervene, and the intervention agent attends the firm's premises to secure files, records, and client money. The SRA notifies affected clients and the Law Society. The SRA publishes an intervention notice on its website, including the name of the firm, the date of intervention, and contact details for the intervention agent.

Challenging an intervention

A solicitor or firm subject to an intervention may challenge the SRA's decision by applying to the High Court under paragraph 6A of Schedule 1 of the Solicitors Act 1974. The applicant must demonstrate that the SRA's decision was wrong — for example, that the grounds for intervention were not made out or that the intervention was disproportionate. The High Court may set aside the intervention, vary its terms, or uphold it. Applications to set aside an intervention must be made promptly. The burden of proof rests on the SRA to justify the intervention on the balance of probabilities. Legal aid is not generally available for challenging an intervention, and costs can be substantial.

Legislative basis for intervention: Schedule 1, Solicitors Act 1974
Key grounds for intervention: Dishonesty, failure to comply with SRA rules, insolvency, undue delay, abandonment, practising certificate issues
Client money on intervention: Frozen immediately; SRA applies to High Court for vesting order to distribute to clients
Challenge route: Application to High Court under paragraph 6A, Schedule 1, Solicitors Act 1974
Intervention notice: Published on SRA website with firm name, date, and intervention agent contact details
Statutory trust: Client money and documents subject to statutory trust under Schedule 1, Solicitors Act 1974

Intervention

In the most serious cases, the SRA can intervene directly in your firm. Intervention means the SRA takes control of your practice, client files, and client money. Your firm effectively ceases to operate. Intervention is used where there is an immediate risk to clients or the public — for example, suspected dishonesty involving client money, or where a sole practitioner is incapacitated and clients are at risk.

Intervention is devastating for any firm. If you receive notice of a proposed intervention, obtain specialist legal advice immediately and consider whether an urgent application to the High Court to challenge the intervention is appropriate.

Your appeal rights

You have the right to challenge SRA decisions through several routes, depending on the type of action taken:

Internal review: For some decisions (such as conditions on authorisation), you can request an internal review by a senior SRA decision-maker who was not involved in the original decision.
SDT appeal: If the SRA imposes a financial penalty or conditions, you can appeal to the SDT. The SDT will hear the case afresh.
High Court appeal: Decisions of the SDT can be appealed to the High Court (Administrative Court). Appeals are on a point of law or if the SDT's decision was plainly wrong. The High Court can also hear urgent applications to set aside SRA interventions.

Appeal deadlines are strict. For SDT appeals to the High Court, you typically have 21 days from the date of the SDT's order. Missing the deadline may mean losing your right to appeal. Your regulatory defence solicitor should advise you on timing immediately after any adverse decision.

ℹ️ Act quickly if the SRA proposes serious action

If the SRA notifies you of a proposed fine, conditions, referral to the SDT, or intervention, you typically have a limited window to respond (often 28 days). Do not delay in instructing specialist regulatory defence representation. Your PI insurer should also be notified immediately, as defence costs may be significant.

ℹ️ Common mistakes during SRA investigations

Ignoring correspondence: Non-response is treated as non-cooperation and escalates the SRA's concerns. Over-disclosure: Providing more information than requested, or volunteering admissions without legal advice, can widen the scope of the investigation. Blaming staff: The SRA holds firms and their managers responsible for systems and controls; attempting to shift blame to junior staff is unlikely to help and may suggest a culture problem. Negotiating directly: Without specialist advice, you may agree to sanctions that are disproportionate or accept findings that are not justified.

What to do next

If you have just received notice of an SRA investigation, your immediate priorities are:

Read the notice carefully and note every deadline
Notify your professional indemnity insurer today
Instruct a specialist regulatory defence solicitor this week
Issue a document preservation notice to all staff

If you are not currently under investigation but want to reduce the risk of one, review your compliance systems. Ensure your COLP is carrying out regular compliance reviews, your complaints procedure is working effectively, and your client money handling follows the SRA Accounts Rules precisely. Most SRA investigations begin because of failures in these areas.

Official guidance and legislation

SRA Enforcement Strategy
How the SRA decides what action to take and the principles guiding its enforcement decisions
sra.org.uk
SRA Code of Conduct for Firms 2019
Full text of the Code including paragraph 7.3 on cooperation with regulators
sra.org.uk
SRA financial penalties guidance
How the SRA calculates financial penalties for individuals and firms
sra.org.uk
Solicitors Disciplinary Tribunal
Information about SDT proceedings, decisions, and appeals
solicitorstribunal.org.uk
Solicitors Act 1974
Primary legislation governing solicitor regulation, intervention powers, and discipline
legislation.gov.uk
Legal Services Act 2007
Framework legislation for regulation of legal services in England and Wales
legislation.gov.uk
SRA reports and data
Published data on SRA investigations, outcomes, fines, and SDT referrals
sra.org.uk

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Guvnor

Respond to an SRA investigation of your law firm

When this applies

Types of SRA investigation

Information requests and desk-based reviews

Visits and inspections

Forensic investigations

Your cooperation obligations

1. Read the SRA's notice carefully and note all deadlines

2. Notify your professional indemnity insurer

3. Instruct a specialist regulatory defence solicitor

4. Preserve all relevant documents and communications

5. Prepare your response with your regulatory defence solicitor

6. Cooperate with interviews and visits

Possible outcomes of an SRA investigation

No further action

Letter of advice or warning

Regulatory settlement agreement

Conditions on your practising certificate or firm authorisation

Financial penalty (fine)

Referral to the Solicitors Disciplinary Tribunal

Intervention

Your appeal rights

ℹ️ Act quickly if the SRA proposes serious action

ℹ️ Common mistakes during SRA investigations

What to do next

Compliance Assistant

🚧 UNDER CONSTRUCTION

When this applies

Types of SRA investigation

Information requests and desk-based reviews

Visits and inspections

Forensic investigations

Your cooperation obligations

1. Read the SRA's notice carefully and note all deadlines

2. Notify your professional indemnity insurer

3. Instruct a specialist regulatory defence solicitor

4. Preserve all relevant documents and communications

5. Prepare your response with your regulatory defence solicitor

6. Cooperate with interviews and visits

Possible outcomes of an SRA investigation

No further action

Letter of advice or warning

Regulatory settlement agreement

Conditions on your practising certificate or firm authorisation

Financial penalty (fine)

Referral to the Solicitors Disciplinary Tribunal

Intervention

Your appeal rights

ℹ️ Act quickly if the SRA proposes serious action

ℹ️ Common mistakes during SRA investigations

What to do next

Related guides in this sector

UNDER CONSTRUCTION