SRA reviews highlight solicitor obligations

These reviews follow insights from the 2023 Annual Assessment of Continuing Competence and aim to strengthen compliance and client service across the profession.

Positive findings showcase good practices

The probate and estate administration review highlighted that many firms effectively met the needs of clients in vulnerable situations. This included maintaining progress in matters, keeping clients well-informed, and demonstrating sensitivity to family dynamics during bereavement. Additionally, firms exhibited good practices in authorising payments from client accounts, ensuring compliance and trust.

In the professional obligations review, the SRA assessed how solicitors sustain their expertise in legal, regulatory, and ethical areas. The findings showed that when solicitors recognised the link between client outcomes and compliance, it led to a more proactive and engaged approach. Most firms had robust regulatory controls and processes, with training records maintained for fee earners.

Areas for improvement identified

Despite the positive findings, the reviews revealed areas where improvement is needed. The SRA emphasised that solicitors should move beyond focusing solely on technical legal knowledge and invest more in broader areas of expertise. This includes regulatory and ethical skills, which are crucial in maintaining high professional standards and client satisfaction.

Paul Philip, Chief Executive of the SRA, said: “Maintaining competence, including awareness of professional obligations, is a regulatory requirement and is vital to upholding confidence in the legal profession. We expect all solicitors to meet this requirement.”

He also acknowledged good practices in probate management and compliance, while acknowledging the necessity for further improvements in learning and development practices. The SRA's upcoming 2025 review of continuing competence will seek to address these areas, aiming to drive better compliance and support for solicitors in maintaining their professional skills.

Knowledge sharing across the profession

The SRA’s thematic reviews involve in-depth visits to a sample of firms, enabling the sharing of insights and best practices across the legal community. This allows firms throughout the sector to learn from each other, enhancing industry standards and ensuring more consistent client service outcomes.

By disseminating findings, the SRA aims to foster a culture of continuous improvement, compliance, and professionalism across England and Wales. This ensures that all solicitors meet the required standards and contribute to a stronger, more trustworthy legal profession.