The SRA’s Standards and Regulations set out what solicitors and other regulated service providers must do to ensure good client service and to uphold the rule of law. Failing to comply with these expectations exposes solicitors and service providers to the risk of becoming the subject of an SRA investigation. Being investigated by the SRA is daunting, and this course aims to clarify your obligations and explain what to expect should you or your firm find yourself in this position.
Through easy-to-understand chapters, this course outlines the scope of the SRA’s legal and regulatory powers, as well as the principles guiding its investigations. It clarifies when a report should be made to the SRA, as well as what information should be provided. This course will take you through the basic stages of an SRA investigation and provides guidance about the support and training that can help to improve staff members’ resilience and mitigate the risk of further breaches.
This course will help you to understand your reporting obligations and know what to expect from the SRA should you encounter a breach or find yourself or your firm under investigation.