The investigation process

You are reading current version in effect from 25 November 2019
Guidance (2) Glossary terms (6)

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You are reading current version in effect from 25 November 2019

Guidance

Guidance

How we gather evidence in our regulatory and disciplinary investigations

This guidance is to help you understand how we gather evidence, the investigatory powers we have to gather evidence and how we can use those powers.

On-site investigations (inspections)

This guidance is to help you how we make decisions to conduct an on-site inspection and your obligations in that regard. We may have regard to it when exercising our regulatory functions.

Glossary terms

SRA

means the Solicitors Regulation Authority

person

includes a body of persons (corporate or unincorporated)

authorised decision maker

in relation to a decision, means a person authorised to make that decision by the SRA under a schedule of delegation

Tribunal

means the Solicitors Disciplinary Tribunal which is an independent statutory tribunal constituted under section 46 of the SA

intervention

means the exercise of the powers specified in section 35 of and Schedule 1 to the SA, or section 9 of and paragraphs 32 to 35 of Schedule 2 to the AJA, or section 89 of and paragraph 5 of Schedule 14 to the Courts and Legal Services Act 1990, or section 102 of and Schedule 14 to the LSA

LSA

means the Legal Services Act 2007