David McIntosh poses a number of challenging questions for the Solicitors Regulation Authority (SRA) (see [2007] Gazette, 1 November, 14).


The SRA's published strategy sets out our goal of being an open and accountable regulator, committed to regulating in a proportionate, accountable, consistent, transparent and targeted manner. Our aim is to encourage compliance, and to deal firmly and proportionately with non-compliance.



Principles must, of course, be translatable into good practice, and I am grateful to Mr McIntosh for acknowledging the significant step we have taken in the introduction this year of the new principles-based Solicitors Code of Conduct.



Our staff have been working hard to put in place processes that will support the development of effective, risk-based regulation. We are implementing a robust process for the prompt and accurate initial assessment of regulatory risk, and will publish our criteria. This will help us to target our investigations.



Following a public consultation earlier this year, the board has agreed a new framework for regulatory decision-making. This will be introduced across the SRA during next year, and will strengthen the consistency and transparency of the way in which all our regulatory decisions are made. Again, the criteria will be published.



The Legal Services Act will give us new, more flexible powers, and enable us to respond proportionately. In particular, limited powers to fine and the ability to publish reprimands (subject to appeal) will help us to tailor our sanctions to the particular case.



The confidentiality of the SRA's regulatory investigations acts as a safeguard for all concerned. Any disciplinary sanctions imposed following investigation carry rights of appeal. The most serious cases are referred to an independent external body - the Solicitors Disciplinary Tribunal. The SRA operates in a public law environment, and our decisions are subject to public challenge.



Peter Williamson, board chairman, Solicitors Regulation Authority