Guidance

Click on a type of decision below to view the corresponding criteria.

Making decisions to investigate concerns

This is how we assess whether we should conduct an investigation into a complaint of misconduct or other breach of our regulatory requirements.

Gathering evidence

We have a range of powers to gather the evidence that we need to decide whether to take regulatory action. This explains how and when we use them.

On-site investigations

Guidance about how and when we decide to investigate on-site.

Parallel investigations

How our investigations are affected by other organisations.

Issuing Solicitors Disciplinary Tribunal proceedings

How we decide to issue proceedings before the Tribunal.

Regulatory settlement agreements

When we will enter into agreements to conclude regulatory investigations.

Publishing regulatory and disciplinary decisions

Publishing regulatory decisions on our website.

Bringing criminal proceedings

Bringing proceedings against those who have committed criminal offences.

Admission as a solicitor

Authorisation of solicitors to practise in England and Wales.

Approval of role holders

Granting approval to be a manager, owner or compliance officer of a law firm.

Authorisation of firms

Deciding that a law firm is suitable to be authorised.

Making payments from the Compensation Fund

How we make decisions on applications to the Compensation Fund.

Dealing with money when we intervene

Dealing with money held by a law firm which we have intervened into.

Intervening to protect clients

Deciding whether to intervene into a solicitor's practice or a law firm.

Regulation of non-authorised persons

How we regulate non-authorised people in law firms that we regulate.

Dishonesty

Our approach to concerns that a regulated person has acted dishonestly.

Recovering costs

Recovering money owed as a result of our regulatory action.

Recovering costs and payments from third parties

When and how we recover money from third parties.

Granting authority to withdraw residual client balances

How we authorise law firms to withdraw residual client balances exceeding £500.

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