Richard is a solicitor (qualified 2002) and worked for the Solicitors Regulation Authority (SRA) for 14 years prior to joining Harding Evans.
During his time at the SRA he worked exclusively on the Forensic Investigations team. This meant that he undertook onsite investigations of law firms. He has investigated all types of firms, from sole-practitioners to magic circle firms. His work took him all over the country.
Richard has a detailed knowledge of the SRA investigation frameworks and the rules applicable to law firms and their staff. He has vast experience of all aspects of law firm compliance, including:
- Compliance with the SRA Codes of Conduct
- SRA Accounts Rules
- Anti-Money Laundering requirements
- Detection and prevention of frauds
Richard was responsible for investigating issues and conducting regulatory interviews. If the evidence supported further action, he would be responsible for the preparation of a Forensic Investigation Report. This would often stand as the SRA’s evidence-in-chief at Solicitors Disciplinary Tribunal (SDT).
Richard has investigated a number of high profile matters involving law firms and their staff and has given evidence at SDT on a number of occasions.
His investigations have led to a number of interventions and he has considerable experience of liaising with the Police and other law enforcement agencies.
Richard was responsible for providing a variety of training to colleagues at the SRA, including identifying frauds and giving effective evidence at SDT.
Given the breadth of investigations in which he has been involved (more than 150) he has significant knowledge of the regulatory issues affecting law firms and how the regulator approaches potential breaches.
Richard’s role at Harding Evans keeps him busy, however he is able to consider instructions to advise law firms and their staff on SRA compliance issues, including providing training and advising/representing firms under investigation by the SRA. If you feel you could benefit from Richard’s knowledge and expertise, please get in touch.
