Firms specialising in probate are aware of the need for continuing competence but show gaps in what they are actually doing.

Those were the key findings from a thematic review of the sector carried out by the Solicitors Regulation Authority, the results of which were published this week.

The regulator assessed 25 firms, including sole practitioners, that provide probate and estate administration services, meeting with the heads of department and at least one fee earner. Training records and accountant’s reports were also reviewed.

The results showed an understanding that continuing competence was necessary but there were some areas where this was not being carried out in practice.

Most solicitor heads of department (19 out of 23) were aware of the SRA’s continuing competence requirements, but six of the 10 fee earners interviewed were not aware of their obligation to make sure they remain competent.

Ten of the 25 firms did not have a written continuing competence policy, and even where this existed, the majority of individuals were unaware of it.

Fee earners felt they had adequate and effective supervision, but of 30 files reviewed only nine showed evidence of supervision. Half of the heads of department visited received no oversight of their work.

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The vast majority of heads of department and all fee earners completed training on probate and estate administration regularly, but the training was mostly focused on legal and technical aspects rather than aspects that were more relevant to their jobs.

The SRA will follow up with firms where it identified a lack of understanding of the obligation to remain competent. The review also found three instances of potential misconduct that required investigation: two related to failing to obtain or submit qualified accountant’s reports, and a further one to non-compliance with anti-money laundering regulations. As a result, investigations have opened into three firms.

Paul Philip, chief executive of the SRA, said: 'Maintaining competence, including awareness of professional obligations, is a regulatory requirement and is vital to upholding confidence in the legal profession. We expect all solicitors to meet this requirement.'