Richard Harbord fined £8,500 after admitting multiple solicitors’ rule breaches
Richard Harbord has been fined £8,500 by the Solicitors Disciplinary Tribunal after admitting to a series of breaches spanning two separate sets of professional rules. The case involved failures under both the 2011 and 2019 Solicitors Regulation Authority (SRA) Codes of Conduct and Solicitors Accounts Rules, as well as breaches of the SRA’s Authorisation Rules and Principles.
The tribunal heard that Harbord and the SRA had reached a Statement of Agreed Facts in which he accepted all allegations brought against him. His admissions covered breaches of rules relating to client money, accounting procedures, professional integrity, and firm management requirements.
In relation to Allegation 1.1, Harbord breached Rule 14.5 of the Solicitors Accounts Rules 2011 and Principles 6, 7, and 8 of the SRA Principles 2011. These provisions relate to the proper handling of client funds, maintaining trust, and acting in the best interests of clients.
For Allegation 1.2, he was found to have breached Rule 32A.1(a) of the 2011 Accounts Rules, Principle 8 of the 2011 Principles, and failed to meet Outcome 7.4 of the 2011 Code of Conduct. This outcome requires solicitors to ensure their independence and integrity are not compromised.
Embed from Getty ImagesThe tribunal also found that Harbord breached Rule 12.1(a) of the Solicitors Accounts Rules 2019 and Paragraph 4.2 of the 2019 Code of Conduct for Solicitors.
For Allegation 1.3, the breaches extended to Paragraphs 7.3, 7.4, and 7.10 of the 2019 Code of Conduct, alongside Principle 5 of the 2019 Principles, which requires solicitors to act with integrity.
In Allegation 1.4, Harbord breached Rule 8.5(e)(i) of the SRA Authorisation Rules 2011, Principle 7 of the 2011 Principles, Paragraph 7.2 of the 2019 Code of Conduct, and Paragraph 9.2 of the SRA Code of Conduct for Firms. These rules cover the duties of authorised individuals and firms to meet regulatory and ethical standards.
The tribunal was not satisfied on the balance of probabilities that Harbord had breached Principle 6 of the 2011 Principles or Principle 2 of the 2019 Principles in relation to Allegation 1.1. Nor was it satisfied that he had breached Rule 32A.1(b) of the 2011 Accounts Rules or Rule 12.1(b) of the 2019 Accounts Rules in relation to Allegation 1.2.
Given Harbord’s admissions and the nature of the breaches, the tribunal ordered him to pay a fine of £8,500. In addition, he was ordered to pay costs fixed at £40,000. However, the tribunal stipulated that the costs order could not be enforced without its leave, effectively pausing collection unless further permission is granted.
The sanction reflects the tribunal’s view that while the conduct was serious and spanned multiple breaches over different rulebooks, Harbord’s cooperation and acceptance of responsibility were mitigating factors.
The case stands as another reminder from the SRA that both current and past rules remain enforceable, and breaches can lead to substantial financial penalties, even if no dishonesty is alleged. The decision reinforces the regulator’s ongoing focus on compliance with Accounts Rules and Codes of Conduct, particularly where client money and firm governance are concerned.
Richard Harbord’s case also highlights the risk of overlapping breaches across different versions of the SRA’s regulatory framework, with the tribunal applying both the pre-2019 and post-2019 regimes depending on the timing and nature of the misconduct.
