Our advice

It is essential that an experienced and professional team are instructed at the earliest time, even before the SRA contact you if you know there are issues; the matter can be controlled in a more relaxed but professional way. If it is the case that the investigation is for minor offences then an early admission with an explanation and apology goes a very long way. If the matter is serious and will result in an intervention application then the sooner you have a team that will manage the conduct of the process, the less draconian the entire procedure is.

From the time you know you have done something wrong, it is all about the limitation of damage and taking advantage of the opportunity to control your departure from the firm without the consequence of intervention. This can be achieved by an early instruction of chartered accountants to prepare a report to show to the SRA that your client monies are safe and no risk continues to the client. This will also stand you in a good stead as the matter progresses because you will have been seen to act professionally and accept the fact that you have erred. At Kidwells Regulatory, we offer a team of lawyers who are experienced in dealing with this very high level of investigation and have proven excellent outcomes. If you have any questions, you can contact us any time.

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