
#SRA4HR – Episode 2: Navigating the SRA’s Approach to Internal Investigations
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In this next episode of #SRA4HR, Managing Partner Clare Murray and regulatory/professional discipline Partner Andrew Pavlovic discuss the SRA’s focus on internal investigations, including:
- Why the SRA care about them
- The consequences for individuals (including HR professionals) and firms for failing to investigate matters or investigating them inadequately
- The choice of investigator and how this interacts with SRA Principle 3 – the obligation to act with independence
- Self-reporting – at what point during the firm’s investigative process does the SRA need to be notified
- Disciplinary outcomes – what are the key considerations from a regulatory perspective and what needs to be reported to the SRA at the conclusion of the firm’s process
- SRA investigations – what happens during the course of an SRA investigation and how HR can support individuals throughout this process
If you are a law firm HR professional and have any questions arising from this recording, or would like to discuss further, please contact Partners Andrew Pavlovic or Clare Murray.
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