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SRA Investigations is a comprehensive step-by-step guide to the law and practice relating to investigations by the SRA. From the initial decision to commence an investigation through to the conclusion to close the investigation or take disciplinary or regulatory action, this book outlines what to expect and provides guidance in this specialist area.

Key areas covered include:

• Details of the SRA’s various powers
• Step-by-step guide to the procedure in an investigation
• Summary of the possible disciplinary and regulatory action
• Practical insight into what the SRA can and cannot do during their investigation
• Application of the fixed financial penalty regime
• The SRA’s review and appeal procedure

Contents

Part I: The Regulatory Regime, Part II: The General Principles, Part III: The Investigation, Part IV: Risk management, Part V: Sanctions, Part VI: Publicity and interaction with other regimes, Appendices. 

About the Author

Nigel West and Susanna Heley are partners in Weightmans specialising in the professional conduct of solicitors and other lawyers working in the legal services industry. Both act for individual solicitors, partners, firms and employees in professional disciplinary matters and have many years of experience advising solicitors facing SRA investigations. They are co-authors of several editions of The Solicitor’s Handbook (Law Society) and have co-written both editions of The Solicitors Disciplinary Tribunal (Law Society, 2022).