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Introduction to SRA Investigations

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.

What this will cover

This course will cover the following topics:

  • the SRA’s expectations and guiding principles
  • the key stages of an SRA investigation
  • the reporting obligations that exist under the SRA’s Codes of Conduct, as well as the best practice principles to follow in the event of a breach
Learning outcomes

After completing this course, you will be able to:

  • understand the scope of the SRA’s legal and regulatory powers, as well as the principles guiding its investigations
  • understand when a report to the SRA will be required, as well as what information should be provided in a report to the SRA
  • be able to distinguish between serious and minor breaches, and understand how each should be recorded and/or reported
  • appreciate the basic stages of an SRA investigation, including the potential outcomes
  • be aware of how staff can be supported and offered training to mitigate the risk of breaches and manage their wellbeing in the event of an SRA investigation
How you will learn

Course format 

This online course consists of the following elements: 

  • an interactive course presentation, with a variety of knowledge checks spaced throughout to test understanding of the material as the learner progresses 
  • an end-of-course assessment consisting of 10 questions 

Our courses conform to Web Content Accessibility Guidelines 2.1. However, some members may require an alternative version for accessibility purposes. This is available upon request via our contact us form.  

Assessment 

In order to pass the assessment, you must achieve a pass mark of 70%.  

The knowledge checks included in the course presentation are intended to aid your understanding of the content and offer the opportunity to apply your knowledge. They do not form part of the assessment.  

No. of items Discount
11 – 19 15%
20 – 29 20%
30 – 39 25%
40 + 30%
£57.89 ex VAT
Type of training
CPD
Format
Bitesize
Level
Introduction
Who is this for?
In-house lawyers
Central government (In-house lawyers)
Local government (In-house lawyers)
Non-profit sector (In-house lawyers)
Practice managers
Solicitors
Course length
40 mins
Assessment type
MCQs (Multiple Choice Questions).
SRA Competence
A1
A2

The experts

Laurence Howland

Expert

View expert bio