Hafiz & Haque, MD Nizmul Haque

Findings — machine-extracted (anthropic-batch:claude-opus-4-8); verify against the decision

Appeal by sole practitioner MD Nizamul Haque and his firm Hafiz & Haque against an SRA Adjudication Panel decision imposing a written rebuke for (1) failing to nominate a COLP/COFA by 31 July 2012 and failing to respond to SRA communications (Principle 7/Outcome 10.8), (2) not having an approved COLP/COFA in place by 1 January 2013 (Rule 8.5), and (3) failing to disclose a prior reprimand on the suitability questionnaire (Principle 7). Dishonesty was never alleged. The Tribunal found the Adjudication Panel's decision wrong on the facts and tainted by serious procedural irregularity: the SRA had sent communications to incorrect email addresses and could not prove proper service, the Appellants responded promptly when they did receive correspondence, and the non-disclosure was a genuine innocent mistake made during the solicitor's mother's terminal illness/death. The Tribunal also rejected the finding of recklessness as unreasoned and incompatible with the Panel's own acceptance that the conduct was not deliberate. The appeal was upheld, the decision revoked, and the SRA ordered to pay the Appellants' costs of £4,750 (Counsel's fees excluding VAT). The Tribunal did not need to resolve the disputed standard of proof.

Mitigating factors:

• Solicitor's mother died on 18 January 2013 while he was completing the questionnaire
• Prompt response (within 3 working days) to the questionnaire and immediate response to the SRA's 10 December 2012 letter
• SRA repeatedly used incorrect email addresses, so communications were not effectively received
• SRA gave inconsistent/unclear instructions (e.g. wrongly stating nomination was via mySRA)
• Solicitor voluntarily disclosed an Ombudsman complaint the SRA was unaware of, indicating no intent to conceal
• Small firm with limited resources