REGULATORY INVESTIGATIONS AND ADVICE
We have experience in advising partnerships and LLPs in relation to a range of regulatory issues.
Where investigations into alleged misconduct of partners/employees is required, we advise as to how such investigations should be conducted from a regulatory perspective, to ensure that all parties to the investigation are treated fairly. We also advise as to whether and when the obligation to self-report a matter under investigation to the SRA has been triggered.
Where litigation is necessary, we are experienced in conducting lengthy and complex proceedings in the Solicitors Disciplinary Tribunal, as well as appeals from Tribunal decisions to the High Court.
We have an in-depth understanding of issues that commonly result in SRA investigations, such as the use of a client account as a bank account and acting where there is a conflict of interest. We are also able to advise in relation to other regulatory issues which can arise in partnerships and LLPs, such as the regulatory consequences arising from “Friday Afternoon Frauds”, phishing attacks and data breaches.
Our regulatory practice is led by Partner Andrew Pavlovic, who is recognised as a ‘Next Generation Partner’ by Legal 500 UK 2023 for professional discipline. The Legal 500 2022 notes that Andrew ‘understands that litigation and investigations can have a huge impact on mental health, so he is always cautious in how he communicates with clients’.
CM Murray LLP has been ranked as a ‘Firm to Watch’ by Legal 500 UK 2023 for professional discipline.
Andrew Pavlovic’s recent experience includes the following:
- Providing on-going self-reporting and other advice to a law firm in respect of an SRA investigation into alleged misconduct by a partner, including considering whether the firm had to self report itself for potential rule breaches;
- Providing partner behavioural training to law firm partners on the SRA Workplace Environment Guidance and Thematic Review and Sexual Misconduct guidance;
- Acting for a law firm pursuant to a general retainer and advising on issues such as whether proposed retainers complied with the relevant Damages Based/Conditional Fee Agreement Regulations; the circumstances in which a lien over files could be exercised and the obligation to disclose documents to a former client’s trustee in bankruptcy.