Regulation

SRA powers of investigation

This practice note seeks to clarify the position relating to the circumstances in which you must provide documents or attend an interview.

The Solicitors Regulation Authority (SRA) has powers to investigate misconduct, including the power to require solicitors to explain their conduct and to produce information and documents. The SRA’s investigatory and disciplinary powers and duties are derived from the Solicitors Act 1974 and the Legal Services Act 2007.

Those powers are delegated to the SRA by the Law Society and are exercised independently by the SRA. All references to the SRA’s powers in this practice note are to those powers.

This practice note seeks to clarify the position relating to the circumstances in which you must provide documents or attend an interview.
All references to SRA Regulations are to the SRA Standards and Regulations 2019.

The SRA Regulatory and Disciplinary Rules set out how the SRA exercises its powers of investigation. 

This practice note is the Law Society's view of good practice in this area, and is not legal advice. For more information, see the legal status.