By Ed Marshall
In our most recent Jonathon Bray webinar, we focused on the wellbeing of solicitors and the profession as a whole. We were joined by guest speakers from several support networks – people who help when things go wrong.
What really struck me, as a former SRA Investigation Officer (IO), was just how much support individuals and firms often need the moment they receive a letter or email from someone in my old job.
I always knew my correspondence as an IO wouldn’t be greeted with a smile. I was acutely aware of the pressure and stress it would bring. But hearing about the volume of support needed – and how people are reaching out to wellbeing services – really hit home. I thought I understood how stressful an investigation could be. Maybe I didn’t.
Now, working in private practice as a compliance specialist, I regularly help clients who have received SRA letters. I sit them down, walk them through what’s likely to happen, and help prepare them for what’s coming. After doing this many times, I started jotting down some of the most common advice I give.
1. Self-reporting to the SRA
Self-reporting is a professional obligation under Rule 7 of the SRA Code of Conduct. The rule covers a wide range of scenarios – from the obvious (e.g. criminal charges) to the more nuanced, where you “reasonably believe” there has been a serious breach.
My consistent advice: critically assess the situation, and if in doubt, report it.
Speaking from experience, a well-drafted report from a solicitor or firm is a godsend to an IO. It shortens the whole process dramatically. You avoid weeks of back-and-forth trying to explain what happened.
A rushed or vague self-report, by contrast, generates more questions and letters. The stress of a slow drip-feed of SRA emails can be reduced if you take the time to investigate and properly explain the issue upfront.
Taking time also gives you the opportunity to put things right, showing you’ve already taken steps to mitigate the harm and prevent a repeat. That’s exactly the kind of message the SRA wants to see.
If you’re still unsure, remember: self-reporting is not an admission of guilt. It’s evidence of your integrity and willingness to work with the regulator.
2. Ask for more time
This one surprises almost everyone I advise.
SRA Investigation Officers typically request a response within two weeks. That feels tight, especially if you’re also fee earning, managing a team, or trying to have a life outside work.
Good news: you can ask for more time.
If you need an extension to give a thorough response, ask for it as soon as possible. A well-prepared submission benefits both sides. IOs are stretched too – they’d rather have a proper response than a rushed one.
One word of warning: don’t make a habit of missing deadlines or asking for repeated extensions. That won’t go down well.
3. Review the SRA Enforcement Strategy
The SRA’s decisions are guided by its Enforcement Strategy. That’s what Investigation Officers use when recommending outcomes.
So when you respond to the SRA, be explicit. Explain what went wrong, why it happened, and what you’ve done since. For example, if human error was a factor, say so. Human error is listed as a mitigating factor.
Even better, show how you’ve addressed the issue – through training, firm-wide learning, or compensation to the client. If you’ve already ‘put it right,’ you’re doing exactly what the SRA expects, before they’ve even asked you to.
The SRA will be looking at both harm and impact. If you’ve reduced the impact through prompt, proactive steps, you’re helping yourself.
4. Get legal advice early
If you suspect the situation could turn serious, don’t try to go it alone. Get specialist legal advice as early as possible. It might be the best money you ever spend.
A good regulatory lawyer will help you understand the likely direction of the investigation, support you in drafting your responses, and make sure you don’t inadvertently say something that could trip you up later. When the stakes are high, having that expert hand on the tiller can make all the difference.
They can also be a buffer – someone who can liaise with the SRA on your behalf, provide perspective, and give you confidence that you’re putting your best case forward.
If you’d like a recommendation for a suitable lawyer, feel free to ask.
SRA investigations are stressful. That much is unavoidable. But there are things you can do to help take the edge off.
