About

I specialise in advising legal services providers on the Solicitors Regulation Authority's regulatory arrangements, associated investigations and any resulting disciplinary process.

I started my career in law with a work placement awarded as part of a university prize and began working in the regulatory sector, assisting regulator clients with the investigation and preparation of cases to go before their disciplinary panels. My subsequent training and early days as a solicitor focused on insurance litigation, from both the claimant and defendant perspective, before, in 2017, returning to regulatory practice. Since then, my practice has evolved to centre on advising law firms on SRA related matters.

Experience

SRA Regulatory and Disciplinary Matters

  • Advising on Reserved Legal Activities as prescribed by the Legal Services Act 2007
  • Advising on Character and Suitability requirements
  • Assisting with both internal law firm and SRA led investigations linked to sexual misconduct, AML and dishonesty concerns
  • Advising on SRA reporting requirements and assisting with the drafting of any resulting notifications
  • Advising on the strategy for and content of responses to SRA rule 2.3 Notices (detailing SRA concerns and suggested regulatory outcome), including on matters concerning the SRA Accounts Rules (centred on the no banking facility rule and residual balances), and complex conflict of interest matters
  • Assisting with SRA (informal and statutory) requests for information
  • Representing law firm and partner clients in the preparation for and attendance at hearings before the Solicitors Disciplinary Tribunal
  • Advising on the various sanctions available to the SRA and SDT and general resolution of matters, including by way of Regulatory Settlement Agreements and Agreed Outcomes

Services

Sectors