Solicitors’ Regulation

New article by Robert Forman first published by Lexis PSL on 18th April 2013 on professional indemnity insurance in the legal market and the problem of unrated insurers.   PII – Ignorance is not bliss Practice Compliance analysis: What are the concerns about the current approach to professional indemnity insurance (PII)? Robert Forman, senior associate … Read More

In these difficult economic times solicitors being investigated or prosecuted by the Solicitors Regulation Authority may be tempted to self-represent or rely on that trusted colleague for pro-bono representation, but as their career and reputation are at stake this is likely to be a false economy. A Solicitors Disciplinary Tribunal specialist understands the nuances of … Read More

Article of 5th April 2013 published as an interview by Lexis PSL discussing changes to the ABS authorisation application implemented by the SRA and common pitfalls. Link to article :

The SRA prosecute breaches of the SRA Accounts Rules 2011 on a strict liability basis. This is their (and the Tribunal’s) interpretation of Rule 6. Consequently solicitors referred to the Solicitors Disciplinary Tribunal for breaches of the SRA Accounts Rules 2011 (and its predecessor rules) have no option but to admit to technical breaches even … Read More

Solicitors facing allegations at the Solicitors Disciplinary Tribunal should pay close attention to the costs claimed by the Solicitors Regulation Authority. The starting point is to say that if you are wholly successful in defending proceedings brought by the SRA, you are unlikely to face a costs order. Oddly, you are also unlikely to recover … Read More

When striking a solicitor from the roll for non-dishonest conduct, the Solicitors Disciplinary Tribunal must give a reasoned decision why a suspension is insufficient. This was the judgment of Mr. Justice Foskett in the matter of Obi v SRA heard in the Administrative Court on 2 November 2012. Mr. Justice Foskett said ‘[25] if the … Read More

The risk of you appearing before the Solicitors Disciplinary Tribunal (SDT) may be greater than you think. Here’s why : The statistics In the period 1st May 2011 to 30th April 2012, of all the allegations substantiated at the Solicitors Disciplinary Tribunal (SDT) 34% related to breaches of the Solicitors’ Accounts Rules[1] (SAR). A further … Read More

At the Lawyers Defence Group we are regularly asked how firms can reduce the chance of regulatory action. Historically firms have only turned their attention to compliance and risk management following an SRA investigation, or significant PI claim. With the new so called ‘Outcomes Focused Regulation’ the SRA have given notice that responsibility for compliance … Read More