Conditions limit solicitor’s practice and prohibit criminal work to ensure regulatory compliance
The Solicitors Regulation Authority (SRA) has imposed practising certificate conditions on Gulfraz Khan, a solicitor and manager at Blackwells Solicitors Limited, restricting him from carrying out criminal law work and from holding senior compliance positions within regulated firms.
According to the SRA’s published decision notice, Mr Khan is prohibited from acting as a Compliance Officer for Legal Practice (COLP) or Compliance Officer for Finance and Administration (COFA) for any authorised body. He is also barred from acting as a Head of Legal Practice (HOLP) or Head of Finance and Administration (HOFA) in any authorised non-SRA practice.
The regulator further imposed a complete restriction on criminal law work. The notice states that Mr Khan “must not undertake criminal work in any form”, including any attendances or representations at police stations, magistrates’ courts, Crown courts or prisons.
At the time of publication, Mr Khan was practising at Blackwells Solicitors Limited, based at 19 Devonshire Street, Keighley, West Yorkshire. The SRA additionally ordered that, except in his role as a manager and/or owner of Blackwells Solicitors Limited, Mr Khan may only practise as a solicitor in positions first approved by the regulator.
The conditions were imposed through an internal SRA regulatory decision rather than proceedings before the Solicitors Disciplinary Tribunal. In its published reasons, the regulator stated that the restrictions were “necessary in the public interest” and were “reasonable and proportionate” having regard to regulation 7 of the SRA Authorisation of Individuals Regulations.
The SRA also referred to the regulatory objectives and principles governing regulatory activity under section 28 of the Legal Services Act 2007. The published outcome notice does not provide further details about the underlying circumstances that led to the conditions being imposed.
Practising certificate conditions are regulatory measures used by the SRA to permit solicitors to continue practising subject to restrictions designed to protect clients, maintain public confidence and manage regulatory risk.
Restrictions relating to criminal defence work are regarded as particularly significant because criminal practitioners routinely appear before courts, represent suspects in police station interviews and undertake legally aided representation in custodial settings.
The prohibition on holding COLP or COFA positions is also notable given the importance of those compliance functions within regulated law firms. COLPs and COFAs are responsible for ensuring compliance with professional conduct obligations, reporting breaches to the SRA and overseeing regulatory systems and controls.