No engagement at present

Our Outcomes-focused approach to regulation (OFR) means the SRA seeks to ensure that those we regulate understand and take their professional responsibilities towards consumers of legal services and the wider public seriously.

The SRA encourages firms to address reports of misconduct received by the SRA in the most appropriate way and in accordance with their own internal systems and procedures.

Where the SRA receives a report alleging misconduct about a firm the SRA may, where appropriate and in its absolute discretion

  • take no action and decide not to engage with the firm at present, and
  • record the information.

This means that rather than the information leading to a formal investigation, it is logged. The SRA telephones the firm contact, where appropriate, to bring the matter to the firm's attention. This allows a firm the opportunity to consider whether any internal action needs to be undertaken, such as a change to internal systems, policies or procedures, or identifying training needs. There is no requirement for a firm to report to the SRA on any internal action taken.

It does, however, remain open to the SRA to engage with a firm on a more formal basis where it has been previously decided that there should be "No engagement at present". For example, this may happen if further information is received or further events arise.


To link to this page, please use www.sra.org.uk/neap.

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