30 May 2023
A guide for our decision makers to assist them in arriving at an appropriate financial penalty for the individuals and firms we regulate.
30 May 2023
This guidance is to help you understand how we make a first-instance decision in a disciplinary case and how we deal with an application for an internal review of that decision.
16 May 2023
Guidance: to help you understand the approach we take to health issues which are raised by those we are investigating and the medical evidence we might ask for.
20 July 2022
To help you understand the approach we take when deciding whether to issue proceedings in the Solicitors Disciplinary Tribunal.
30 December 2021
To help those we regulate understand how we assess reports and complaints made about them.
17 November 2021
How we will regulate you if you are not authorised by us directly but where you are involved in a firm we regulate or work for, or are supervised, by a solicitor.
5 July 2021
To help you understand how we deal with money when we intervene into a firm.
25 November 2019
To help you understand how we make the decision to conduct an on-site inspection and what is expected from you.
25 November 2019
To help you understand our approach towards investigating breaches of our regulatory requirements which relate to the same or similar underlying facts as concurrent civil, regulatory or criminal proceedings.
25 November 2019
Understand how and when we may bring criminal proceedings against those we regulate.
