The SRA Handbook is no longer in effect. It was replaced by the SRA Standards and Regulations on 25 November 2019.
SRA Handbook
Appendix 2
Back to version 21Version 15 of the Handbook was published on 01/11/2015. For more information, please click 'History' Above
Appendix 2
Publication Criteria (Rule 3.5)
- 1
-
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.
- 2
-
Each case will be decided on its own merits.
- 3
-
The following support a decision to publish:
- (a)
-
the circumstances leading to the rebuke or penalty, or the rebuke or penalty itself, are matters of legitimate public concern or interest;
- (b)
-
the importance of transparency in the regulatory and disciplinary process;
- (c)
-
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;
- (d)
-
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;
- (e)
-
the seriousness of the finding against the person;
- (f)
-
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;
- (g)
-
the rebuke or penalty arises from facts that affected or may affect or have affected a number of clients or other persons;
- (h)
-
the rebuke or penalty arises from facts that relate to the administration of justice.
- 4
-
The following support a decision not to publish:
- (a)
-
publication would disclose a person's confidential or legally privileged information;
- (b)
-
publication would disclose a person's confidential medical condition or treatment;
- (c)
-
publication may prejudice legal proceedings or legal, regulatory or disciplinary investigations;
- (d)
-
publication would involve a significant risk of breaching a person's rights under Article 8 of the European Convention on Human Rights;
- (e)
-
in all the circumstances the impact of publication on the individual or the firm would be disproportionate.
- 5
-
In deciding whether to publish, the SRA may also take into account:
- (a)
-
the overall disciplinary and regulatory history of another person when relevant;
- (b)
-
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.
- 6
-
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.
- 7
-
The SRA will from time to time publish indicative guidance about the application of these criteria.