SRA / SDT guidance hub
SRA investigations and Solicitors Disciplinary Tribunal proceedings: guidance and solicitor matching
Stage-specific guidance for solicitors, firms and other SRA-regulated people facing investigation, adjudication or proceedings before the independent SDT.
Independent commercial matching service · Not a law firm · General information, not legal advice.
What this guidance covers
A stage-specific map for SRA / SDT.
Stage-specific guidance for solicitors, firms and other SRA-regulated people facing investigation, adjudication or proceedings before the independent SDT.
Use the supporting guides to move from the first notice through evidence, hearings, outcomes and any review. Start with the question raised by the latest letter rather than trying to read the whole process at once.
Common entry points
- SRA investigation first contact: assessment and immediate steps
- Responding to SRA allegations and a notice under the procedure rules
- SRA evidence requests, cooperation and legal professional privilege
- SRA interim controls and practising conditions during an investigation
- Referral to the Solicitors Disciplinary Tribunal: what it means
Guides for each stage
8 focused guides in procedural order.
Start with the guide matching the latest letter or decision. From there, you can move to the stages immediately before and after it, or return to this overview.
SRA investigation first contact: assessment and immediate steps
An SRA contact should be read against the assessment threshold and the precise person or firm under investigation. Preserve the notice and records, identify every deadline, and separate a service complaint from the alleged regulatory breach.
Read the guide Guide 02Responding to SRA allegations and a notice under the procedure rules
Before a disciplinary decision, the SRA ordinarily gives notice of the allegation, supporting facts and relevant history. A useful response distinguishes admitted facts, disputed evidence, regulatory characterisation and proposed outcome.
Read the guide Guide 03SRA evidence requests, cooperation and legal professional privilege
The SRA has significant information-gathering powers, while duties of cooperation, confidentiality and legal professional privilege require careful distinction. Preserve relevant material and answer the request accurately without destroying, altering or informally editing source records.
Read the guide Guide 04SRA interim controls and practising conditions during an investigation
Pending a final decision, the SRA may consider controls or conditions within its powers. The immediate task is to identify the legal basis, practical effect and current risk said to justify the proposed restriction.
Read the guide Guide 05Referral to the Solicitors Disciplinary Tribunal: what it means
The SDT is independent of the SRA, which usually prosecutes referred cases. A referral decision is not a finding that the allegations are proved; it begins tribunal proceedings under a separate procedural framework.
Read the guide Guide 06Preparing for a Solicitors Disciplinary Tribunal hearing
SDT preparation requires a reliable case theory, disciplined evidence plan and compliance with tribunal directions. Facts, professional obligations, misconduct, sanction and costs should be treated as connected but distinct questions.
Read the guide Guide 07SRA and SDT sanctions, publication and costs
The available outcome depends on whether the decision is made by the SRA or the SDT and on the respondent's status. Publication and costs can remain significant even where a practising restriction is not imposed.
Read the guide Guide 08Reviewing or appealing an SRA or SDT decision
Internal review, statutory appeal and public-law challenge are different routes with different decision-makers, grounds and time limits. The decision notice and governing rule should control the route, not a general wish to rehear the case.
Read the guideHow an introduction works
The law firm remains independent.
A participating firm would assess your information, decide whether it can help and explain its own terms. An introduction alone does not create a retainer or guarantee an outcome.
- 01Choose your regulator and current stage.
- 02Provide only basic contact, stage and deadline information.
- 03Review the named recipient and referral disclosure before sharing.
- 04The independent firm decides whether to offer a consultation or accept the matter.
Primary-source register
Built from current regulator material.
Sources checked 19 September 2026. Check the linked regulator material for later amendments and use the corrections route if a source or summary needs attention.
Independent matching service
Need help identifying the right type of representation?
The matching service will open after participating firms, referral terms and privacy arrangements are verified.