Decision record
David Ebert LLP
Allegation / charges
Authorisation of Individuals Regulations 2019, Breaches, Code of Conduct for Firms 2019, SRA Principles 2019
Findings — machine-extracted (anthropic-batch:claude-opus-4-8); verify against the decision
David Ebert LLP, a recognised body LLP, admitted four allegations: failing to comply with the SRA Transparency Rules 2018 (Rules 1.1 and 2.1) between 16 Sept 2022 and 29 Jan 2023; failing to comply with conditions of authorisation imposed by an SRA Adjudicator on 11 August 2022; failing to have a designated COLP between July 2022 and December 2023; and failing to have a designated COFA between November 2020 and October 2023. The firm breached Principle 2 and various rules. The Tribunal found breaches were not deliberate but caused by a period of transformation, with the firm taking too long to rectify problems. No dishonesty was alleged or found. The matter was resolved by Agreed Outcome on the papers, with a fine of £20,723.20 and costs of £10,000.
Duties found breached:
- Non-discriminatory acceptance and cab-rank
- Competence
- Firm governance, systems and compliance
- No obstruction or victimisation of reporters
- Truthful, non-misleading advertising
Aggravating factors:
- Misconduct continued despite the SRA Adjudicator's finding of breach and imposition of conditions
- Misconduct continued for over four months despite SRA warnings and reminders
- Firm had already been fined £1,300 plus £600 costs for failing to adhere to the Transparency Rules
- COLP breach continued for more than 17 months until a designated and approved COLP was in place
- COFA breach continued for nearly three years until a designated and approved COFA was in place
Mitigating factors:
- Breaches were not deliberate, caused by a period of transformation at the firm
- Firm gained no advantage, financially or otherwise, from the breaches
- No harm caused to any person and no advantage taken of any person
- Firm cooperated fully and was open with the SRA throughout the investigation
- Early admission of the breaches
- Firm has now complied with the Transparency Rules and has the requisite COLP and COFA in place
Codes & rules applied
Duties engaged
- No bribery or improper gifts
- Personal probity and fitness to practise
- Uphold public trust in the profession
- Complaints procedure and handling
- Non-discriminatory acceptance and cab-rank
- Competence
- Firm governance, systems and compliance
- No obstruction or victimisation of reporters
- Truthful, non-misleading advertising