The case related to M's decision to employ MR to carry out conveyancing work. MR was not a solicitor but M had known him for a considerable period of time, having worked with him previously. MR was
The case related to M's decision to employ MR to carry out conveyancing work. MR was not a solicitor but M had known him for a considerable period of time, having worked with him previously. MR was initially supervised by M but M admitted that he had failed to maintain the level of supervision required due to the volume of other business.
Disciplinary proceedings had commenced against M following a matter where MR was acting for a buyer, borrower and mortgagee. M was found guilty by the SDT of failing to act in the best interests of his firm's lender clients and failing to make arrangements so as to ensure adequate supervision of an employee. Costs were agreed between the parties at £16,000, and the SDT (which had been aware of M's financial means) also decided to impose a £5,000 fine as a sanction. M challenged this decision and argued that the sanction was excessive.
The Divisional Court noted that a fine could be viewed as a penalty for the misconduct, but costs were separate, and designed to compensate the SRA for the proceedings. M's means were, however, relevant to both aspects. Noting that the SDT had not set out reasons as to why a fine was considered to be more appropriate than a reprimand, and that the significant mitigating evidence should have been taken into account, the Divisional Court concluded that the fine was excessive. The Divisional Court therefore reduced M's total liability to £5,000, being a £500 fine and costs amounting to £4,500.
Disciplinary proceedings had commenced against M following a matter where MR was acting for a buyer, borrower and mortgagee. M was found guilty by the SDT of failing to act in the best interests of his firm's lender clients and failing to make arrangements so as to ensure adequate supervision of an employee. Costs were agreed between the parties at £16,000, and the SDT (which had been aware of M's financial means) also decided to impose a £5,000 fine as a sanction. M challenged this decision and argued that the sanction was excessive.
The Divisional Court noted that a fine could be viewed as a penalty for the misconduct, but costs were separate, and designed to compensate the SRA for the proceedings. M's means were, however, relevant to both aspects. Noting that the SDT had not set out reasons as to why a fine was considered to be more appropriate than a reprimand, and that the significant mitigating evidence should have been taken into account, the Divisional Court concluded that the fine was excessive. The Divisional Court therefore reduced M's total liability to £5,000, being a £500 fine and costs amounting to £4,500.