Full Description
SRA Investigations is a comprehensive step-by-step guide to the law and practice relating to investigations by the SRA. From the initial decision to commence an investigation through to the conclusion to close the investigation or take disciplinary or regulatory action, this book outlines what to expect and provides guidance in this specialist area.
Key areas covered include:
Details of the SRA's various powers
Step-by-step guide to the procedure in an investigation
Summary of the possible disciplinary and regulatory action
Practical insight into what the SRA can and cannot do during their investigation
Application of the fixed financial penalty regime
The SRA's review and appeal procedure
Contents
Part I: The Regulatory Regime, Part II: The General
Principles, Part III: The Investigation, Part IV: Risk management, Part V:
Sanctions, Part VI: Publicity and interaction with other regimes, Appendices.
