
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.