Home > Business Plan 2015/16 > Enforcement review
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Enforcement review

Reviewing delivery of enforcement activities

An impartial and rigorous disciplinary procedure is vital to sustaining public trust in the legal profession and the maintenance of professional standards. We expect the legal services regulators to:

  • have a range of effective and proportionate enforcement tools
  • ensure the operation of the enforcement function is timely, evidence-based, proportionate and fair
  • publish policies and guidance that enables others to understand the regulator's criteria for taking or not taking actions
  • have appeal processes that are independent from the body or persons who made the original decision
  • have processes in place to ensure that learning is shared and performance is monitored.

Why we are looking into this area

In our last regulatory standards report we noted that there was there was scope for improvement in the timeliness and transparency of the legal services regulators enforcement activities. We have also identified issues with the quality of decision making, and the consistency of sanctioning powers and appeals processes.

What we are doing

In 2017/18, we plan to carry out a review which will look at the 'end to end' (from initial complaint to imposition of sanction) process of the larger regulators. We will report on our findings and, if necessary, make recommendations.
This project is due to start in Quarter 3.

Further information

For more information on this project, please contact the project manager Tom Peplow.