Version 9 of the Handbook was published on 1 April 2014. For more information, please click "History" above.
In deciding whether or not to publish a decision to give a person a written rebuke or direct that person to pay a penalty, the SRA will take into account all relevant circumstances including the following factors when relevant.
Each case will be decided on its own merits.
The following support a decision to publish:
the circumstances leading to the rebuke or penalty, or the rebuke or penalty itself, are matters of legitimate public concern or interest;
the importance of transparency in the regulatory and disciplinary process;
the existence or details of the rebuke or penalty will or might be relevant to a client or prospective client of a person who has been subject to a relevant disciplinary decision in deciding whether to instruct or continue to instruct that person, or as to the instructions to be given;
the existence or details of the rebuke or penalty will or might be relevant as to how any other person will deal with a person who has been subject to a relevant disciplinary decision;
the seriousness of the finding against the person;
the rebuke or penalty has been given to a person who has previously been the subject of disciplinary or regulatory decisions whether private or published;
the rebuke or penalty arises from facts that affected or may affect or have affected a number of clients or other persons;
the rebuke or penalty arises from facts that relate to the administration of justice.
The following support a decision not to publish:
publication would disclose a person's confidential or legally privileged information;
publication would disclose a person's confidential medical condition or treatment;
publication may prejudice legal proceedings or legal, regulatory or disciplinary investigations;
publication would involve a significant risk of breaching a person's rights under Article 8 of the European Convention on Human Rights;
in all the circumstances the impact of publication on the individual or the firm would be disproportionate.
In deciding whether to publish, the SRA may also take into account:
the overall disciplinary and regulatory history of another person when relevant;
whether any disciplinary or regulatory action by another body is being or has been taken against the person who has been subject to a relevant disciplinary decision.
The factors set out above are not exhaustive and do not prevent the SRA from taking into account other factors that it considers to be relevant.
The SRA will from time to time publish indicative guidance about the application of these criteria.