Solicitors Regulation Authority (SRA)

Overview

The SRA is the regulator for solicitors and law firms in England and Wales. It sets the SRA Standards and Regulations, the Code of Conduct for Solicitors, RELs and RFLs, and the Accounts Rules. It takes enforcement action against individuals and firms for misconduct: formal rebukes, financial penalties, conditions on practising certificates, and (via the Solicitors Disciplinary Tribunal) suspension or strike-off.

What it handles

• Reports about solicitor misconduct (dishonesty, conflicts of interest, breach of accounts rules)
• Investigations into firms holding client money
• Money laundering and sanctions breaches
• Anti-money laundering supervision under the MLR 2017

What it does not handle

• Service complaints (poor handling, delays) — Legal Ombudsman
• Negligence claims against solicitors — civil courts

Process

1. Step 1: Report a solicitor

   The quickest way for most people to report a solicitor or firm is to download, complete, and return the SRA's report form, including evidence and contact details.

2. Step 2: Assessment Threshold Test

   The SRA assesses the report by applying its three-stage Assessment Threshold Test to decide whether it should investigate.

3. Step 3: Decision on investigation

   It can take the SRA up to eight weeks to decide whether to investigate; it acknowledges the report and says when it will next be in contact.

4. Step 4: Investigate or explain

   If the SRA decides to investigate, it writes to explain the next steps; if it decides not to investigate, it writes to explain how it reached that decision.

5. Step 5: Regulatory action

   Where an investigation finds a serious breach, the SRA can take action ranging from advice or a fine up to referring the solicitor or firm to the Solicitors Disciplinary Tribunal.

Appeals

Solicitors Disciplinary Tribunal (independent of the SRA).

Official sources