SRA updates guidance for litigation supervision

The Solicitors Regulation Authority (SRA) has released updated guidance on supervision arrangements in the wake of the Court of Appeal’s judgment on Mazur vs Others. This ruling clarified what constitutes the conduct of litigation and outlined the permissible actions for non-regulated individuals working under the supervision of regulated lawyers. In response, the SRA has expanded its supervision guidance, encouraging firms to carefully review this material to ensure their arrangements are compliant with legal standards.

The updated guidance now includes several case studies designed to assist firms in exercising their professional judgement effectively. These additions are intended to provide practical examples of how firms can navigate the complexities of supervision in litigation work.

The revisions to the SRA guidance have been informed by input from a variety of organisations, including key representative bodies like the Law Society, regulatory bodies such as CILEX Regulation, and partnerships with government departments and other stakeholders like the Legal Aid Agency and the Law Centres Network. Feedback from these groups has proven invaluable in shaping the new guidelines.

While the necessity for firms to implement effective supervision is not a new requirement, the updated guidance offers clearer frameworks regarding the delegation of tasks. It outlines how a solicitor may demonstrate their responsibility through direction, management supervision, and control. Additionally, enhancements have been made to sections addressing the roles of both supervisors and supervisees.

Jonathan Peddie, SRA Executive Director for Investigations, Enforcement and Litigation, expressed the authority’s understanding of the anxiety surrounding recent developments, stating that "we are pleased to be able to release our updated guidance." He added, "It was important, given the previous uncertainty, that we took the time to review the position thoroughly and collaboratively with others from across the legal sector." Peddie further noted the importance of a risk-based approach: "Each firm will be different, but hopefully our case studies will help them as they exercise their professional judgement in practice."

Moving forward, the SRA plans to continue collaborating with stakeholders to ensure that the updated guidance remains practical and effective, promising to expand its collection of case studies to further aid firms in this essential area of compliance and responsibility.