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Here for you and your SRA regulated business

The Solicitors Regulation Authority (SRA) regulates solicitors and law firms in England and Wales . It sets the principles and Codes of Conduct that law firms and their staff must abide by to operate independently, honestly and with integrity – in the interests of their clients and the wider public.  

At Leigh Day, we realise the importance of receiving clear regulatory advice, practical support and strong representation. Our team of regulatory, compliance and professional disciplinary lawyers will work with you to better understand the situation, assess the issues you’re faced with and give straightforward, pragmatic advice to help guide you and your business. 

Our services include expert help and advice across the entire spectrum of SRA regulation issues - from helping you ensure your business is complying with the latest SRA rules, Codes of Conduct and Principles to dealing with SRA investigations, SRA disciplinary decisions and SRA outcomes: 
 
  • Regulatory, ethics and compliance advice – Planning an effective way to manage any regulatory risks is the best way to avoid being the subject of an SRA investigation. Our advisory and consultancy services can guide you or your firm through regulatory issues to help ensure compliance.
  • Self-reporting – Knowing when to self-report can reduce the risk of an investigation and the severity of any SRA decisions and enforcement action when there has been a breach.
  • SRA Investigations – Our team will work closely with you at every stage of an investigation, steering you through the process and ensuring you respond to the SRA in the most appropriate manner.
  • Solicitors Disciplinary Tribunal (SDT) Proceedings – If the outcomes of an SRA investigation result in you or your firm facing an SDT hearing, we can offer support and representation. We will fight your cause tenaciously with a nuanced approach, ensuring you have the greatest chance of achieving the best outcome possible.
  • Covering the costs – We understand the worries that can arise around the costs of legal advice and representation – on top of dealing with SRA disciplinary decisions and the complex stages of an investigation. That’s why our information about all our costs, fees and charges are kept transparent and straightforward.

Getting things right

The professional disciplinary rules set or enforced by the SRA include:
 
  • The Codes of Conduct for solicitors or firms
  • The Principles (such as acting in the best interests of each client) 
  • Rules relating to authorisation of individuals regulations
  • Transparency rules
  • Professional indemnity insurance rules
  • Solicitors Accounts rules
  • Anti-Money Laundering Regulations

It’s easy to underestimate the time and effort involved in getting regulatory matters right. Failing to do so can result in an SRA investigation and SRA disciplinary action that could have a lasting impact on your career, your livelihood and your firm. 

Whether you need regulatory advice around complying with the Principles, Codes of Conduct or disciplinary law, or want guiding through the process of an investigation, our team of regulatory and disciplinary solicitors can help. 

We’re here to offer the best independent advice and support so you make the right decisions and take the right steps to ensure it’s business as usual for you and your practice. 

Why choose Leigh Day?

At Leigh Day, we have more than 30 years’ experience working across a huge range of legal cases. We’ve been through an intensive, high-profile and long-lasting SRA investigation, prosecution and appeal so we’re uniquely placed to understand the sorts of regulatory pressures solicitors and firms currently face. Our profession has never been more intensely regulated, whether in our professional or personal lives: we’re here to help you make sense of the rules and regulations secure the best possible outcome, whatever your situation. 

Discover more about our expert team, our experience and results on our Regulatory and Disciplinary page. 

To get in touch about an SRA investigation you or your firm are facing, call us on 020 3780 0406 or 

 

Further insights

We are continually looking to provide insights into our specialist field, for the benefit of our clients and the wider profession. You can read our latest published articles and blogs here:
 
  1. Walking a knife-edge: the exposure of law firms to regulatory investigation and prosecution defence costs
  2. The SRA’s new reporting requirements: an ethical conundrum for firms
  3. Dealing with an SRA investigation: we all need to walk the line
  4. Revising legal services regulation: threat or promise?
  5. When professional becomes personal
  6. The “tripadvisorisation” of legal services?

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