Solicitors Regulation Authority (SRA) & Solicitors Disciplinary Tribunal (SDT)

Our specialist lawyers have experience of advising solicitors and organisations under investigation by the Solicitors Regulation Authority and defending cases before the Solicitors Disciplinary Tribunal. If you are under investigation or have been referred to a hearing you should seek specialist advice to protect your practice. To discuss your case with a member of our team, in confidence, call 0203 816 9274.

Stephensons is recommended by the Legal 500 for professional disciplinary work. We are a national law firm with a network of offices, including London and Manchester, allowing us to act for clients nationwide. We appreciate the needs and anxieties of professional clients at risk of losing their professional status and their livelihood. We recognise the need for urgent, specialist advice from lawyers with experience of defending similar cases.

  • Professional Discipline & Fitness to Practise Lawyers

    Head of Regulatory Law Carl Johnson talks about the role his team take in professional discipline and fitness to practise issues. Carl discusses the sort of cases the team at Stephensons can handle, the possible outcomes of professional discipline investigations and why legal advice is vital.

    "This area of law involves cases which are often highly emotionally charged. For a professional to be under scrutiny by their regulator or professional body that can create a lot of stress, a lot of anxiety and put clients under a lot of pressure. A specialist lawyer provides a much needed barrier between the professional and their regulator and can help absorb some of that pressure and stress, and that's an important service that we provide to our clients." - Carl Johnson

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If you are referred to the Solicitors Disciplinary Tribunal this can have serious implications, both professionally and financially. Where allegations are proven, the tribunal has a wide range of sanctions available, including the imposition of conditions on practising certificates, suspension from practice and order striking a solicitor off the roll. The tribunal also has the power to impose fines and orders for costs against solicitors.

Investigations by the Solicitors Regulatory Authority which do not result in a referral to the tribunal can have a number of other regulatory outcomes. These include the issuing of warnings and rebukes, the imposition of fines and the imposition of conditions on a solicitor’s practising certificate. Many of these regulatory decisions carry a right of appeal to the Solicitors Disciplinary Tribunal.

Our experience

We have experience of advising and defending solicitors facing the full range of allegations, including:

  • Breaches of the SRA Accounts Rules;
  • Practice management issues;
  • Misconduct during the course of litigation;
  • Conflicts of interest;
  • Failing to act in the best interests of clients;
  • Misleading statements;
  • Dishonesty;
  • Engaging in reserved activity whilst not properly authorised.

We can assist you at all stages of your case and our experience includes the following matters:

  • Responding to requests for explanations of conduct
  • Advising on outcomes of investigations
  • Negotiating regulatory settlement agreements
  • Advising on s.43 Orders and applications for approval of employment
  • Preparing responses to Rule 5 statements
  • Defending cases before the SDT
  • Applications for restoration to the roll

To discuss your case, in confidence, with one of our specialist professional disciplinary lawyers, please call 0203 816 9274. Alternatively please complete our enquiry form and a member of the team will contact you as a matter of urgency. 

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