It has also been focusing its attention on specific practice areas following its relatively new annual assessments of solicitors.

The Solicitors Regulation Authority (SRA) recently closed its consultation on plans to strengthen regulation, particularly:

introducing a mandatory requirement for recording-keeping for 3+ years
a requirement that solicitors participate in annual mandatory ethics discussions
new SRA powers to direct some or all solicitors undertake specific training when competence concerns arise

The regulator reported receiving 141 consultation responses; and more than 150+ solicitors took part in its eight roundtable events.

The existing regulatory framework does not require mandatory record-keeping. Rather, the emphasis is on ‘best practice’. SRA expects lawyers’ individual records to detail what learning and training was undertaken; the learning needs and gaps identified; and how they recognised those needs. These should be kept for around 6 years.

Then, when solicitors apply to renew their practising certificate, they must declare that they have maintained their competence. ‘Competence’ is defined as "the ability to perform the roles and tasks required by one's job to the expected standard". The regulator may ask to see a solicitor’s supporting evidence at any time.

Concerns

If mandatory record-keeping and participating in annual mandatory ethics discussions are introduced, (and we assume it will be), not everyone is happy with the proposals.

In its response, the Law Society expressed concern around the SRA being given widely drafted powers to impose training on solicitors. Its members have said the scale of the SRA proposals “has a disproportionate, impact on the entire profession for the unethical behaviour of a small minority”.

The Law Society says it is “broadly supportive” of the proposal to introduce annual participation in mandatory ethics discussions. However, it says the proposed format for mandatory ethics training is “overly restrictive and impractical”; would create a financial and administrative burden on firms – particularly for small firms – as well as a loss of productivity. Further, it points out that there must be clarity as to the new rule’s possible triggers and how they would be used.

The Society adds: “The SRA’s proposals in this area represent a very prescriptive, one size fits all format, which the profession has voiced substantial concerns about, in terms of cost, coordination and monitoring. It also focuses on compliance with inputs, rather than outputs, which is out of line with the SRA’s outcomes approach to regulation.”

The proposal to create a new rule in the Code of Conduct requiring solicitors to complete “specific learning and development” is soundly criticised by the Law Society, which says its members’ view is that it is far too widely drawn. It says: “As currently drafted it would allow the SRA to issue a direction without consultation, at any time or frequency about anything it wanted, whether that direction was reasonable or not. From a regulatory perspective, this power is disproportionate to the potential risk. The rule must be redrafted to be far more detailed and specific.”

The SRA is expected to give feedback on its next steps imminently and to implement the changes for the 2027/28 practising year.

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