Common causes of solicitor misconduct that lead to investigations by the Solicitors Regulation Authority (SRA) and proceedings before the Solicitors Disciplinary Tribunal (SDT) typically involve breaches of professional standards and regulatory duties.

A key issue is the misuse of client money, including poor handling of funds or failure to maintain proper financial records. Dishonesty and lack of integrity, such as misleading clients or providing false information, are also major triggers for enforcement action.

Failures to meet anti-money laundering requirements often result in investigations, particularly where due diligence and risk checks are not properly carried out. Conflicts of interest that are not disclosed or managed correctly can also lead to disciplinary proceedings.

In addition, poor client care, including delays, negligence, or lack of communication, frequently escalates into formal complaints. Weak governance, such as failing to follow professional rules or cooperate with regulators, further increases the risk of action.