SRA bans former Stephenson Harwood compliance officer after findings of dishonesty
A compliance officer at a City law firm has been banned from working in the legal profession after the Solicitors Regulation Authority found that he repeatedly lied about being present in the office when he was, in fact, working from home.
Dylan Patel, who was employed at Stephenson Harwood, is now subject to a restriction under section 43 of the Solicitors Act 1974. As a result, he may only work for a law firm regulated by the Solicitors Regulation Authority in the future if he obtains the regulator’s prior permission.
According to a notice published by the regulator, Mr Patel was required to attend the office on 29 November 2024. He did not do so, but told a senior colleague that he was present in the building. When the colleague attempted to locate him, Mr Patel sought to deter her by stating that he was on the first floor and was too busy to meet.
The regulator found that Mr Patel continued to mislead colleagues during investigatory meetings held on 3 December and 5 December. During those meetings, he maintained that he had been in the office on the relevant date.
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Mr Patel claimed that he had gained access to the building after forgetting his security pass and being allowed entry by a security guard. He provided a description of the guard and went on to give specific details about the timing of his arrival and departure from the office. He also said where he had been sitting throughout the day and claimed to have connected to the firm’s wifi from his desk.
Stephenson Harwood dismissed Mr Patel shortly afterwards for gross misconduct. Following its investigation, the Solicitors Regulation Authority concluded that his conduct was dishonest.
In its decision, the regulator said that Mr Patel’s actions meant it was undesirable for him to be involved in a legal practice without the authority’s prior approval. His last known address was recorded as Stanmore in north-west London.
The section 43 order does not prevent Mr Patel from working entirely, but it does restrict his involvement in regulated legal practice unless the Solicitors Regulation Authority gives permission. The measure is used in cases where an individual’s conduct is considered incompatible with unrestricted work within the profession.
The decision reinforces the regulator’s expectation that individuals working in compliance and governance roles demonstrate honesty and integrity, particularly when dealing with internal investigations and regulatory matters.