Regulation

SRA powers of investigation

Practice note

03 Jul 2023

7 minutes read

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The Solicitors Regulation Authority (SRA) has powers to investigate misconduct, including the power to require solicitors to explain their conduct and produce information and documents. This practice note sets out the circumstances in which you must provide documents or attend an interview.

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 are to those powers. 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.

Introduction

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Practice notes represent the Law Society’s view of good practice in a particular area. They are not intended to be the only standard of good practice that solicitors can follow. You are not required to follow them but doing so will make it easier to account to oversight bodies for your actions.

Practice notes are not legal advice, and do not necessarily provide a defence to complaints of misconduct or poor service. While we have taken care to ensure that they are accurate, up to date and useful, we will not accept any legal liability in relation to them.

For queries or comments on this practice note contact our Practice Advice Service.

SRA Principles

There are seven mandatory principles in the SRA Standards and Regulations which apply to all aspects of practice. The principles apply to all authorised individuals (solicitors, registered European lawyers and registered foreign lawyers), authorised firms and their managers and employees, and to the delivery of regulated services within licensed bodies.

Must – a requirement in legislation or a requirement of a principle, rule, regulation or other mandatory provision in the SRA Standards and Regulations. You must comply, unless there are specific exemptions or defences provided for in relevant legislation or regulations.

Should – outside of a regulatory context, good practice, in our view, for most situations. In the case of the SRA Standards and Regulations, a non-mandatory provision, such as may be set out in notes or guidance.

These may not be the only means of complying with legislative or regulatory requirements and there may be situations where the suggested route is not the best route to meet the needs of a particular client. However, if you do not follow the suggested route, you should be able to justify to oversight bodies why your alternative approach is appropriate, either for your practice, or in the particular retainer.

May – an option for meeting your obligations or running your practice. Other options may be available and which option you choose is determined by the nature of the individual practice, client or retainer. You may be required to justify why this was an appropriate option to oversight bodies.