An SRA intervention is typically triggered when the Solicitors Regulation Authority believes there is a serious risk to clients or the wider public that cannot be managed through routine supervision or disciplinary action alone.

Common regulatory concerns include suspected dishonesty or fraud, misuse or shortage of client money, failure to comply with Accounts Rules, serious breaches of anti-money laundering requirements, or evidence that a firm is no longer able to operate safely due to insolvency, abandonment of practice, or loss of key authorisation. Interventions may also arise where a solicitor’s conduct suggests a lack of integrity, competence, or independence, or where regulatory cooperation has broken down.

In assessing risk to clients and the public, the SRA considers factors such as the immediacy and scale of potential harm, the vulnerability of affected clients, the amount of client money at stake, and whether the issues appear isolated or systemic. The regulator also reviews past compliance history, the effectiveness of any remedial steps taken, and whether alternative regulatory tools would be sufficient to protect the public interest.

Where the SRA concludes that client protection cannot be assured, it may intervene to take control of files and funds, suspend practice, or close a firm entirely. These decisions are made to uphold professional standards and maintain confidence in the legal profession, particularly in cases involving SRA enforcement action.