Chapter 5

Supervision, Investigation and Enforcement

 

Introduction

5.01
This chapter deals with the powers of legal service regulators to supervise, investigate and sanction the providers of legal services. It complements Chapter 3 which deals with codes and compliance, Chapter 4 which deals with misconduct, and Chapter 6 which deals with disciplinary tribunals. The legal framework of regulation was described in Chapter 1. In this chapter, each of the regulators is considered separately.

5.02
The regulators have much the same basic functions, although some differences in emphasis exist. In general, regulators have powers to supervise and investigate those they regulate. They are required to respond appropriately both to specific suspicions of misconduct or rule breaches, and also to general risks. They have powers to initiate proceedings before a relevant disciplinary tribunal and, in some cases, impose their own sanctions or interim restrictions upon a regulated person’s ability to practise.