Professional Discipline and Regulatory

We pride ourselves on protecting the interests of corporate entities and individuals facing investigation or proceedings brought by one of the many law enforcement agencies and regulatory bodies.

We provide effective and specialist regulatory law advice to corporate entities, directors, senior personnel and high profile/high net worth individuals in many sectors including finance, business, industry, sports, entertainment and media.


When potentially criminal activity occurs in a business it is often the business itself that makes the discovery. Immediately the business has to ask itself: what action should the business now take? Is there an obligation to report the matter to the regulator or to the SFO? What action should be taken in respect of employees caught up in the activity? Often the best advice is to undertake an investigation to establish in more detail what has occurred. We have extensive experience of conducting such investigations.

Instructing experienced internal investigation lawyers will attract privilege which will ensure that all communications between you and your legal team are confidential and not disclosable to the enforcement authority. More importantly, if lawyers lead the investigation, this privilege may extend to other professionals we engage on your behalf.

Undertaking an investigation is an important indicator to employees, customers, investors and enforcement authorities that your business takes its regulatory obligations seriously. It is also a clear signal to regulators that risk management is taken seriously and properly resourced.


For a professional, a regulatory investigation with the risk that it might lead to disciplinary proceedings can cause irreparable damage to their reputation and livelihood. While the range of sanctions will depend on the particular regulator, they can include a financial penalty and/or a period of suspension or prohibition from practice and/or public censure. As a regulatory investigation may impact on a person’s employment status and may be a precursor to a potential criminal investigation or civil proceedings, it is crucial that the strategy that is taken at the outset of the matter does not cause prejudice in any associated matter.

We are also experienced in acting for individuals employed by businesses involved in internal investigations and prosecutions and who may be asked to provide evidence as witnesses.

We recognise that proceedings taken by regulatory bodies (whether against an individual or the business) may impact on an individual's employment status and we are well placed to provide advice on the employment issues which may arise.

We advise in respect of investigations and proceedings carried out by many regulatory authorities including the following:

  • Serious Fraud Office
  • Financial Services Authority
  • Heath and Safety Executive
  • Care Quality Commission
  • General Dental Council
  • The Bar Council
  • Lloyd's of London
  • Institute Chartered Accountants of England and Wales
  • Chartered Institute of Taxation

We are also experienced in representing individuals in directors’ disqualification proceedings brought under the Company Directors Disqualification Act.

As well as advising those who find themselves the subject of an investigation, we also represent those who are treated as witnesses.

Recent work in this area

  • Representing a professional before the Institute Chartered Accountants of England and Wales
  • Representing a defendant in regulatory proceedings brought by Lloyd's of London
  • Advising individuals facing directors disqualification proceedings
  • Advising companies and directors on investigations and proceedings brought by the Department for Business Innovation and Skills
  • Representing a horse trainer before the Horse Racing Authority
  • Representing chiropractors before the General Chiropractic Council
  • Acting for the Solicitors Regulatory Authority 

You are now leaving Withersworldwide and visiting Withers Consulting Group (WCG) website. Please note WCG does not offer legal services and is therefore not regulated by the Solicitors Regulation Authority or other regulating body. WCG works independently of Withersworldwide. For further information please see WCG's +Regulatory Notice +