SRA Disciplinary Procedures

• 30 Minutes
• For all staff
• UK

SRA disciplinary procedures set out how the regulator responds to breaches of its rules and standards, from investigation through to sanction and, in serious cases, referral to the Solicitors Disciplinary Tribunal. This 30-minute course provides an overview of how the process works, the purpose and framework behind it, and the types of breach or regulatory issue likely to trigger an investigation.

Individuals are usually unprepared for how quickly a regulatory concern becomes a formal matter, and early responses shape the outcome. Firms also carry reporting obligations of their own. Understanding the process helps staff recognise when something must be reported rather than resolved internally, which is frequently the difference between a manageable issue and an aggravating factor.

What you’ll learn in
this course

• Understand the purpose and framework of SRA disciplinary procedures
• Recognise the types of breaches and regulatory issues that may trigger an investigation
• Understand your responsibilities and obligations during an SRA investigation
• Respond appropriately to investigations to remain accountable, demonstrate compliance, and minimise the risk of sanctions

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