The following Practice Compliance guidance note provides comprehensive and up to date legal information covering:
The Solicitors Regulation Authority (SRA) has a published enforcement strategy setting out its approach to enforcement, assessing the seriousness of an enforcement issue and the sanctions and controls at its disposal. It has also published accompanying guidance on its approach to enforcement in the following specific areas:
competence and standard of service
referral fees ban
criminal offences outside of practice
driving with excess alcohol convictions
social media use and offensive communications
price and service transparency
application of SRA Principle 1
This Practice Note explains the SRA’s enforcement strategy, including its approach to enforcement, assessing seriousness, the sanctions and controls at its disposal and its guidance on enforcement in the specific areas listed above.
The SRA’s purpose is to protect the public:
by ensuring that solicitors meet high standards, and
by acting when risks are identified
The SRA’s approach to enforcement is guided by this public interest purpose.
The SRA seeks to be fair and proportionate in its approach to enforcement and its response will reflect the seriousness of the breach.
As a public interest regulator, the SRA focuses on issues that present an underlying risk to the public. It does not view enforcement as a tool to punish wrongdoers, but rather its purpose is to:
protect clients and the public—either controlling or limiting the risk
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