Guidance

The SRA's approach to financial penalties - Guidance

Guidance: for our decision makers to assist them in arriving at an appropriate financial penalty for the individuals and firms we regulate.

Issuing Solicitors Disciplinary Tribunal proceedings - Guidance

Decision making: To help you understand the approach we take when deciding whether to issue proceedings in the Solicitors Disciplinary Tribunal.

Agreeing regulatory and disciplinary outcomes - Guidance

Decision making: To help you understand when we might agree to a regulatory and disciplinary outcome by way of a Regulatory Settlement Agreement.

How we regulate non-authorised persons - Guidance

Decision making: How we will regulate you if you are not authorised by us directly but where you are involved in a firm we regulate or work for, or are supervised, by a solicitor.

Decision-making, reviews and attendance procedures - Guidance

Decision making: To help you understand how we make a first instance decision and how we deal with an application for an internal review of that decision.

How we gather evidence in our regulatory and disciplinary investigations - Guidance

Decision making: Understand how we gather evidence, the investigatory powers we have to gather evidence and how we can use those powers.

On-site investigations (inspections) - Guidance

Decision making: To help you understand how we make the decision to conduct an on-site inspection and what is expected from you.

Publishing regulatory and disciplinary decisions - Guidance

Decision making: Understand the approach we take when deciding whether to publish regulatory and disciplinary decisions on our website.