Reporting breaches to the SRA—in-house lawyers

The following Risk & Compliance practice note provides comprehensive and up to date legal information covering:

  • Reporting breaches to the SRA—in-house lawyers
  • When and what must you report to the SRA
  • What is a serious breach?
  • Serious breach factors
  • Nature of the allegation
  • Intent/motivation
  • Harm and impact
  • Vulnerability of person affected by the breach
  • Role, experience and seniority
  • Regulatory history and patterns of behaviour
  • More...

Reporting breaches to the SRA—in-house lawyers

This Practice Note provides guidance for in-house solicitors on their breach reporting obligations under the SRA Standards and Regulations, in force from 25 November 2019. It is based on reporting requirements in the SRA Code of Conduct for Solicitors, RELs and RFLs 2019, the SRA’s Enforcement Strategy and information set out in SRA, Reporting concerns: Post-consultation position. It is not just solicitors in law firms who have a duty to report actual and potential breaches to the SRA. This duty applies equally to in-house solicitors, RELs and RFLs and it is wider than you may expect.

This Practice Note does not cover the operation of the SRA’s reporting obligations for solicitors, RELs and RFLs working in firms authorised by the SRA. For more information on breach reporting in an SRA-authorised body, see Practice Note: Breach reporting 2019—law firms.

References in this Practice Note to ‘in-house solicitors’ includes RELs and RFLs working in-house.

For more guidance on the 2019 regulatory regime, see Practice Notes:

  1. SRA regulatory regime—from 2019

  2. SRA Standards and Regulations 2019—in-house lawyers

  3. SRA Code of Conduct for Solicitors, RELs and RFLs—for in-house lawyers

When and what must you report to the SRA

The SRA threshold for reporting is expressed as ‘serious breach’—see below: What is a serious breach?

The reporting obligations are shown below and apply personally to in-house solicitors by virtue of the

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