One of the reasons to use a solicitor for legal work is that they are tightly regulated and have professional standards that they are required to meet. Solicitors are regulated, in the main, by the Solicitors Regulation Authority (SRA). The SRA has a set of rules governing conduct which solicitors must meet and which are policed by the SRA.

For less serious breaches of the rules the SRA can issue rebukes or fines and costs to solicitors and solicitors firms. For more serious offences they can prosecute solicitors before an independent a tribunal called the Solicitors Disciplinary Tribunal (SDT). The SDT has wide powers to discipline solicitors, including fines running to many thousands of pounds, up to striking a solicitor off - meaning they can no longer practice as a solicitor. As may be expected, a lot of the cases which come up before the SDT involve Solicitors professional practice and matters like misappropriating clients’ money or failing to keep proper accounts.

What may surprise members of the public, and indeed some solicitors, is the extent to which the SRA and the SDT can impose disciplinary sanctions for things happening outside the office. Solicitors are under a duty to report themselves to the SRA if they have breached the rules. Failing to make such a report can amount to a rule breach in itself. Examples of where this can come up outside the office include the obligation to report criminal charges or cautions. So, if a solicitor is prosecuted for drink driving that must be reported and the SRA can impose a fine in addition to anything the criminal courts do. This is on the basis that a criminal conviction may undermine the public’s trust in the solicitor’s profession.

The SRA take an interest in solicitors own financial circumstances, so that if a Solicitor or solicitors firm gets into serious financial difficulty a report must be made to the regulator. That includes if a solicitor faces the probability of personal bankruptcy because of, for example, gambling debts.

The Regulators interest can also extend to activities such as Tweeting. So in one case a solicitor was rebuked for tweeting in inappropriate terms about court wins on behalf of his public body clients against the parents of children claiming special educational needs. In another case a solicitor who posted on her own social media accounts derogatory remarks about Islamic women was disciplined by the SRA. Social events and office parties can also give rise to disciplinary matters. In one case a trainee solicitor who got drunk at a works night out and inappropriately touched colleagues was fined £2000 by the SRA.

All of this means that solicitors must be careful, not only in the office, but also outside of work, to live up to the standards required of the profession. In some instances that can mean being prosecuted by the regulator in circumstances where members of the public would not necessarily face any form of sanction.

The point of this regulatory regime is to try and ensure that solicitors can be trusted by the people using them.
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