Supporting you through dealings with the SRA

When you work as a solicitor, you are expected to follow the rules. Those rules can be developed into outcomes that are sometimes difficult to assess in certain circumstances. The Kidwells Regulatory team have years of experience in advising and representing solicitors facing SRA investigations. We draw from our experience of defending solicitors before the Solicitors Disciplinary Tribunal (SDT).  Additionally, we can provide advice to firms across all sizes ranging from sole practitioners to large corporate firms. From our own personal dealings with the SRA we can clearly understand and empathise with you, supporting and guiding you through the entire process is our priority. We can assist anyone who works in a solicitor’s firm regarding a variety of issues in relation to legal practice. This includes individual solicitors, law firms, MLRO’s, COLP’s, COFA’s, other qualified lawyers (CILEX) and student/trainee solicitors. Our solicitors will always try to advise you on the best steps to take. We will carefully analyse your situation and help you overcome it by choosing solutions tailored to your needs and circumstances. Furthermore, we’ll help you reach the best outcome possible.

Important things to consider:

• The SRA offer assistance with ethics and the outcomes are clarified by the Law Society; either can be telephoned and issues discussed. Make sure you keep a record of who you speak to and what was said as simply to get some guidance is not a defence to any allegation that might be made, you must apply it correctly yourself.
• You should keep full records of what you are doing and saying with clients as when the war of words on who said what is engaged your word will count for very little without supporting documents like accurate  attendance notes

Client Complaints

If a client complains about you, you will follow your complaints procedure, which you must have in place as a direction of the rules. The client must receive a full service through the complaints procedure as though they were instructing you.

Important things to consider:

• You cannot charge for the time in dealing with the complaint, it is a service that you must offer.
• If you do not respond to the satisfaction of the client or you do not do so within eight weeks, the client can go to the legal ombudsman service. If their complaint is accepted and held against you the ombudsman can order up to £30,000 compensation to be paid to the client or set an alternative order – such as return documents. There will be a charge for their service that you will have to pay which is £400.
• Not to comply with the ombudsman’s determination is a reporting offence to the SRA.
• The ombudsman can only assess client care complaints, any other breaches or allegations will find their way to the SRA.