SRA Investigations, SDT Proceedings and Regulatory Settlement Agreements

Our regulatory solicitors can provide you with expert legal and practical advice at a time when you need it the most.

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.

Support and guidance with every stage

The SRA investigation

The investigation can be very time consuming and demanding on you and your practice and can take a considerable period of time to complete. The SRA can also send in forensic investigations team to your practice, if this happens the matter is very serious indeed and you must manage it professionally.

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The Regulatory Settlement Agreement (RSA)
We can help you negotiate with the SRA for a Regulatory Settlement Agreement (RSA) which is an alternative to hearings. It’s a formal written agreement which settles complaints made by the SRA against the solicitor.


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The Solicitors Disciplinary Tribunal
The Tribunal will set out directions. Applications can be made in the normal way and will be heard by a judge sometimes on the papers and sometime at a hearing. The panel is made up of a lay person with no legal experience or qualification and then two others who are legally qualified.


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The SRA can also intervene in your practice, the allegations have to be serious for this to happen but they do not have to be proven at that stage.



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Lexcel and File Management Compliance
The process itself is stringent and requires a great deal of diligence and care to complete. However, at Kidwells, due to experience in the area, we can help you attain your desired goal.


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The Solicitors Disciplinary Tribunal Hearing
The forensic investigator may give live evidence and provide the SRA with the documentary evidence. The solicitor in question can present their defence and dispute allegations made against them through oral evidence.


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We believe in delivering the highest standards of client care, from your first contact to the satisfactory closure of your account. All of our lawyers are on hand 24 hours a day.

At Kidwells we are always honest about how much your matter is likely to cost. Our clear, transparent pricing structure offers all clients peace of mind.

Our lawyers are trained in the world of business as well as the law, ensuring that strong, realistic advice can be provided.

All consultations will be strictly confidential and held at a location convenient to you.