Partner and Head of Regulatory
Susan Humble, a regulatory specialist solicitor, joined RIAA Barker Gillette (UK) in July 2020 as the Head of our Regulatory, Serious Fraud and Business Crime team. She specialises in advising regulators and the regulated on all compliance and governance aspects. This includes providing commercial, practical, and realistic assistance with compliance health checks, independent audits and support for those with regulatory difficulties.
Susan has exceptional expertise in legal regulation acquired during her eight years as CEO and Clerk at the Solicitors Disciplinary Tribunal (SDT). She has unique insight into the prosecution and defence of cases before the SDT. She will advise clearly and succinctly on how best to approach discussions with regulators and the management of tribunal cases persuasively and effectively. She is focused on the delivery of exceptional results.
Susan has built an exceptional reputation in the regulatory world across sectors. In addition to her time at the SDT, she was the dispute resolution manager at Sport Resolutions (UK), running the UK’s National Anti-Doping Panel for five years.
Susan is the former Chair of the Taxation Disciplinary Board and was responsible for regulating tax advisers with a membership of the Chartered Institute of Taxation and the Association of Tax Technicians. She is also an independent lay panellist for the government agency, the Teaching Regulation Authority, hearing regulatory cases against teachers and others employed within education.
Susan sits as a representative of the Lord Chancellor on the Tribunal Procedure Committee, contributing to the making of rules governing the practice and procedure in the First-tier Tribunal and the Upper Tribunal.
Susan Humble is the firm’s Compliance Officer for Legal Practice (COLP) and is a member of the Association of Regulatory and Disciplinary Lawyers (ARDL).
LLB (Hons) 1981
Law Society Finals 1982
Solicitor of England & Wales (Admitted 1984)
Chartered Institute of Marketing – Postgraduate Diploma in Marketing 2001
SOAS – Japanese Language Proficiency Test Japanese Level N5 2011
Languages: English and Japanese
Professional appointments
Tribunal Procedure Committee – 2020 to 2026
In May 2023, the Lord Chancellor announced the reappointment of Susan Humble as a member of the Tribunal Procedure Committee (TPC). The TPC was established in 2008, under the Tribunals, Courts and Enforcement Act 2007, to make rules governing practice and procedure in the First-tier and Upper Tribunals. The TPC is responsible for nine sets of Tribunal Rules, covering 11 Chambers in the Unified Tribunals System. The subject matter of the appeals heard in those Chambers includes immigration, tax, mental health and transport.
Taxation Disciplinary Board – 2020 to 2024
Susan Humble is the former Chair of the Taxation Disciplinary Board. She oversaw regulator prosecutions and hearings of allegations of breaches of the Chartered Institute of Taxation and Association of Tax Technicians‘ regulations, including Anti-Money Laundering regulations.
Teaching Regulation Authority – 2020 to 2025
Independent Lay Panellist of the Teaching Regulation Authority. Public appointment from 31 January 2020 for a five-year term. Reaching judicial decisions on teachers and student teachers alleged to have committed professional misconduct. Susan has chaired numerous multi-day cases involving teacher sexual misconduct and safeguarding issues, misuse of social media, and other misconduct in the workplace.
Solicitors Disciplinary Tribunal – 2010 to 2018
Chief Executive Officer and Clerk to the Solicitors Disciplinary Tribunal. The SDT is a statutory regulatory tribunal and member organisation hearing 300 cases a year alleging professional misconduct against solicitors, brought by the Solicitors Regulation Authority and accountable to the Legal Services Board. Susan managed 300 serious professional disciplinary misconduct cases annually and all external litigation, including contentious appeals. Amongst other things, Susan:
- clerked many complex cases and wrote draft Judgments for approval by the tribunal. Judgments are subject to appeal to the High Court and are closely scrutinised in that process;
- was the primary judicial decision-maker on preliminary applications, providing written reasoned decisions;
- was responsible for introducing a ‘service-user first’ approach by removing layers of bureaucracy from the organisation and introducing transparency to the public-facing website by publishing all Judgments;
- worked with highly diverse boards, committees, tribunals, and employees, focussing on the implementation of ethical practices consistent with the ‘Seven Principles of Public Life’; and
- implemented the member ‘Code of Conduct’, the disciplinary process, and ‘External Complaints Procedure’.
Sport Resolutions (UK) – 2005 to 2010
Head of Secretariat of the National Anti-Doping Panel, Sport Resolutions (UK), an independent dispute resolution service for sport focused on integrity, professional ethics (particularly anti-doping), and high-value commercial and sports governance disputes. Susan gained invaluable experience in the practical resolution of disputes using arbitration, conciliation, and mediation for organisations such as the British Olympic Association, the FA and UEFA, including producing arbitration and mediation rules and agreements.
Articles and events
Regulatory specialist Susan Humble joins LawNet‘s January Risk & Compliance Discussion on 17 January to discuss how her experience with the Solicitors Disciplinary Tribunal (the SDT) has shaped her approach to her current role as Compliance Officer for Legal Practice (COLP) at RIAA Barker Gillette (UK).
LPM Conference – July 2023: “Battling the challenge of keeping up with regulatory changes”. Speakers: Susan Humble, regulatory specialist, RIAA Barker Gillette (UK) and Paul Philip, Chief Executive, SRA
Risky Business – June 2023
LPM: Gifts – assets or liabilities? – March 2023
LPM: A variety of flowers makes a bouquet – November 2022
TSG Quote: Register of Overseas Entities: ‘Extreme caution’ warning for solicitors – August 2022
LPM: Gifts – assets or liabilities? – July 2022
Character is, perhaps, destiny – April 2022
LPM: All’s fine at the Solicitors Regulation Authority – February 2022
The importance of being transparent – February 2022
Solicitors Journal: In principle? The principles behind principles – December 2021
Solicitors Journal: AML: supervising the supervisor – August 2021
Solicitors Journal: SDLT: market and conveyancers burning up and out – June 2021
Solicitors Journal: Professional conduct and proportionality: a fine balance – May 2021
Solicitors Journal: What’s the problem with transparency? – April 2021
Solicitors Journal: Funny money: Don’t be like Al Capone – March 2021
Solicitors Journal: Being measured – January 2021
Solicitors Journal: Leave a trail – November 2020
Webinar: Informed Consent Before, During and After a Covid-19 World – 19 November 2020
Solicitors Journal: It is time to use the heart when managing junior staff? November 2020
Should sanctions for dishonesty be harmonised? August 2020
Lord Chancellor announces appointment of Susan Humble to the TPC August 2020
RIAA Barker Gillette strengthens its Regulatory Team July 2020
