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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.

RECENT MATTERS

Andrew Pavlovic’s recent experience includes the following:

  • 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.
  • Acting for the SRA in lengthy and substantial proceedings before the Solicitors Disciplinary Tribunal and appeals of the Tribunal’s decisions to the High Court, and conducting advocacy at Tribunal Case Management Hearings.
  • Acting for the SRA in contested interventions into law firms and/or legal practices;
  • Acting for the SRA in cases where injunctions have been obtained to facilitate the intervention process and/or compel the production of documents.
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