SRA Disciplinary Procedures

• 30 Minutes
• For all staff
• UK

What happens if a lawyer is accused of getting it wrong? This course explains how Solicitors Regulation Authority (SRA) investigations work, from the first complaint to the final outcome. Learn what counts as professional misconduct, how ethical violations are assessed against the principles of legal ethics, and what to expect if a case reaches disciplinary hearings.

We also look at the legal sanctions available, from warnings and fines to being struck off, and how regulatory enforcement can affect a law firm’s reputation. Finally, we consider why professional accountability matters for every member of the team, and how a culture of openness helps prevent problems before they arise.

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

Hear from our customers

I cannot overstate how happy with are with Skillcast. They are prompt, attentive, patient and always so good humoured. The teams work seamlessly, and there is always someone to cover in the absence of a team member. I am always impressed and very happy to work with the team.

Feefo Customer Rating  ★★★★★ 4.9/5

SRA Code of Conduct

In-depth 35 Minutes For all staff

Regulatory breaches in legal practice are personal, publicly recorded and career-limiting, and they often start with a conflict between what a client wants and what the Code allows. Support staff face the same pressures without the same training. Covering the whole firm establishes a common standard and gives your COLP a documented basis for the culture the SRA expects to see.

Explore the course

SRA Disciplinary Procedures

In-depth 30 Minutes For all staff

We also look at the legal sanctions available, from warnings and fines to being struck off, and how regulatory enforcement can affect a law firm’s reputation. Finally, we consider why professional accountability matters for every member of the team, and how a culture of openness helps prevent problems before they arise.

Explore the course

SRA Accounts Rules

In-depth 30 Minutes For all staff

Accounts Rules breaches are among the most common causes of SRA intervention, and shortfalls on client account are treated with very little tolerance regardless of intent. Fee earners create the transactions that the accounts team then has to reconcile. Training both populations, not only cashiers, is what keeps the firm's accountant's report clean and its client money genuinely protected.

Explore the course

Conflicts of Interest for Law Firms

In-depth 30 Minutes For all staff

Conflicts in legal practice can be fatal to a retainer and are a common source of SRA enforcement. They are often spotted late, after work has begun and disengaging is costly. Training fee earners and support staff to check earlier protects the client relationship, the firm's professional indemnity position and the individual's own regulatory record.

Explore the course

Gifts and Hospitality for Law Firms

Express 15 Minutes For all staff

Law firms sit close to referral relationships, panel appointments and introducer arrangements, all of which make hospitality harder to read. SRA principles around integrity and independence apply to conduct that would not trouble other sectors. Giving fee earners and support staff a clear test protects individual practising records as well as the firm's position.

Explore the course

UK GDPR for Law Firms

Microlearning 5 Minutes For all staff

Law firms handle significant volumes of personal and sensitive data, making compliance with UK GDPR a critical responsibility. This course explains the key principles of data protection, lawful processing, data subject rights, and breach management. It also explores how to embed data protection by design into your firm's operations and maintain compliance through accountability and good governance.

SRA Principles

Microlearning 5 Minutes For all staff

The SRA Principles form the foundation of professional ethics for solicitors and law firms. They outline the fundamental duties - such as acting with integrity, maintaining trust, and upholding the rule of law - that underpin all areas of legal practice. This course explores each principle, its application in real-world scenarios, and how to use them as a framework for sound professional judgment.

Safeguarding for Law Firms

Microlearning 5 Minutes For all staff

Safeguarding is about protecting children and vulnerable adults from harm, abuse, or neglect. In legal practice, professionals may come into contact with clients at risk or encounter warning signs during their work. This course helps you understand safeguarding responsibilities, how to recognise potential abuse, and the correct procedures for reporting and responding to concerns in line with legal and professional obligations.

Preventing Sexual Harassment for Law Firms

Microlearning 5 Minutes For all staff

Sexual harassment can take different forms. This training explains what sexual harassment is, high-risk situations you may encounter and your duty to speak up if you witness or experience it.

Equality for Law Firms

Microlearning 5 Minutes For all staff

Equality and diversity are core professional and ethical responsibilities for solicitors. This course explores the Equality Act 2010, focusing on protected characteristics, unlawful discrimination, and the duty to promote an inclusive working environment. It also examines how to challenge bias, foster respect, and support fair treatment for clients, colleagues, and others in the legal profession.

Cybersecurity for Law Firms

Microlearning 5 Minutes For all staff

Law firms are prime targets for cyberattacks due to the sensitive data they hold. This course covers key cybersecurity risks such as phishing, ransomware, and data breaches. It provides practical steps to strengthen digital security, recognise threats, and follow best practices for password management, device use, and incident reporting. Participants will gain the awareness needed to protect both client information and the firm’s reputation.

Avoiding Bribery for Law Firms

Microlearning 5 Minutes For all staff

Bribery and corruption can damage reputations, lead to criminal liability, and undermine public trust in the legal profession. This course explains what constitutes a bribe, how the Bribery Act applies to law firms, and how to identify, prevent, and report improper conduct. It includes practical guidance on gifts and hospitality, facilitation payments, and maintaining robust anti-bribery controls.

Anti-Facilitating Tax Evasion for Law Firms

Microlearning 5 Minutes For all staff

Failure to prevent the facilitation of tax evasion is a corporate offence under the Criminal Finances Act 2017. This training outlines the three stages of the offence, who qualifies as an associated person, how to spot red flags and when to escalate concerns.

AML for Law Firms

Microlearning 5 Minutes For all staff

Money laundering is a process used to disguise the criminal origin of illicit funds. This training explains the three key stages: placement, layering and integration, highlights common red flags and your duty to escalate any concerns.