SRA Handbook

Appendix 2

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Version 11 of the Handbook was published on 01/10/2014. For more information, please click 'History' Above

Appendix 2

Publication Criteria (Rule 3.5)

1

In deciding whether or not to publish a decision to give a person a written rebuke or direct that person to pay a penalty, the SRA will take into account all relevant circumstances including the following factors when relevant.

2

Each case will be decided on its own merits.

3

The following support a decision to publish:

(a)

the circumstances leading to the rebuke or penalty, or the rebuke or penalty itself, are matters of legitimate public concern or interest;

(b)

the importance of transparency in the regulatory and disciplinary process;

(c)

the existence or details of the rebuke or penalty will or might be relevant to a client or prospective client of a person who has been subject to a relevant disciplinary decision in deciding whether to instruct or continue to instruct that person, or as to the instructions to be given;

(d)

the existence or details of the rebuke or penalty will or might be relevant as to how any other person will deal with a person who has been subject to a relevant disciplinary decision;

(e)

the seriousness of the finding against the person;

(f)

the rebuke or penalty has been given to a person who has previously been the subject of disciplinary or regulatory decisions whether private or published;

(g)

the rebuke or penalty arises from facts that affected or may affect or have affected a number of clients or other persons;

(h)

the rebuke or penalty arises from facts that relate to the administration of justice.

4

The following support a decision not to publish:

(a)

publication would disclose a person's confidential or legally privileged information;

(b)

publication would disclose a person's confidential medical condition or treatment;

(c)

publication may prejudice legal proceedings or legal, regulatory or disciplinary investigations;

(d)

publication would involve a significant risk of breaching a person's rights under Article 8 of the European Convention on Human Rights;

(e)

in all the circumstances the impact of publication on the individual or the firm would be disproportionate.

5

In deciding whether to publish, the SRA may also take into account:

(a)

the overall disciplinary and regulatory history of another person when relevant;

(b)

whether any disciplinary or regulatory action by another body is being or has been taken against the person who has been subject to a relevant disciplinary decision.

6

The factors set out above are not exhaustive and do not prevent the SRA from taking into account other factors that it considers to be relevant.

7

The SRA will from time to time publish indicative guidance about the application of these criteria.