Referrals to the SDT

Introduction

Most referrals to the Solicitors Disciplinary Tribunal (SDT) come from the Solicitors Regulation Authority, although this is by no means the only route by which a matter may be referred and it is open to anyone to make an application. For example, for the year ended 30th April 2008, of the 262 applications made to the SDT, 5 were made directly from members of the public, 9 were in respect of the determination of an indefinite suspension or the revocation of a s 43 Order with the balance being made up of applications by the Law Society (through the SRA).

Referral by the SRA

The SRA will only refer a matter to the SDT if it passes two tests:

• the evidential test – i.e. there must enough evidence to provide a “realistic prospect” that a solicitor will be found guilty of misconduct – in other words that the SDT is more likely than not to make a finding of misconduct
• the public interest test – i.e. a finding of misconduct is likely to lead to a fine, suspension, striking off or other power vested in the SDT and their are no pubic interest factors which would weigh against that course of action.

Thus, a matter will be likely to be referred to the SDT if, for example:

• there is evidence that the conduct was pre-meditated, repeated, systematic or otherwise dishonest,
• the solicitor abused a position of authority or trust,
• a client’s or other person’s interests have been seriously compromised, or
• any victim of the misconduct was vulnerable,

whilst it is less likely that the matter will be pursued if:

• the SDT is likely to impose a nominal penalty,
• the misconduct resulted from a genuine mistake,
• the solicitor is elderly and no onger practising, or
• the solicitor was suffering from significant mental or physical ill health at the time of the misconduct – unless the misconduct was serious or may be repeated.

Full details of the basis and criteria for referral to the SDT will be found in the Code for Referral to the Solicitors Disciplinary Tribunal on the SRA website.

It should be noted that a decision by the SRA to refer a matter to the SDT is not in itself a finding of misconduct – the finding, if any, will come from the SDT itself. For this reason it is not possible for someone who has been referred to appeal against that referral.

If you have been referred to the SDT and you would like to speak with someone about what is likely to be involved and the steps you should take to protect your position, then you can contact us, you can:

• phone on 0333 888 4070
• email on help@lawyersdefencegroup.org.uk
• request a callback using the form in the right hand menu and someone will call you back at a pre-arranged time, or
• write to Lawyers Defence Group, Richard Nelson Solicitors, 8 The Courtyard, 707 Warwick Road, Solihull, West Midlands, B91 1TT