Professional discipline and regulatory
If you are facing potential disciplinary or legal action, we offer swift and effective support to both individuals and orgaizations. Whether you're involved in an investigation or proceedings, or conducting inquiries into suspected wrongdoing - we can help.
Regulatory investigation and/or disciplinary proceedings can have serious implications for your business or your career.If you are an individual facing disciplinary or legal action or you manage a business that has uncovered potentially inappropriate activity, we can provide swift and effective support. Our team will advise you on how to handle the investigation and proceedings and devise the best strategy to mitigate their wider impact on your life.
In the UK, we advise on investigations and proceedings carried out by a wide range of authorities, including Parliamentary Select Committees, the Financial Conduct Authority (FCA), The Prudential Regulation Authority (PRA), the Serious Fraud Office (SFO), the Financial Reporting Council (FRC), the National Crime Agency (NCA), Care Quality Commission (CQC) and the Health and Safety Executive (HSE). And we have significant experience in representing directors in disqualification proceedings brought under the Company Directors Disqualification Act. We also deal with proceedings and requests for assistance by overseas regulators and enforcement agencies.
For business owners and directors, instructing internal investigation lawyers is a vital first step so that communications between you and your lawyers become privileged and non-disclosable. It is also an important signal to staff, customers, investors and the authorities themselves that you take risk management and your regulatory obligations seriously. We are often asked to conduct these investigations, establishing key facts as quickly as possible.
With our experience of running investigations, we are also able to assist witnesses who are asked to provide evidence to internal and external investigations and inquiries.
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Typical clients and industries include
Financial servicesOur lawyers have a wealth of experience navigating complex global financial markets. We help clients secure their finances and futureproof their businesses. Find Out More
Leaders and senior executivesWe help business leaders to manage their responsibilities at work and home – from advising on employment contracts and regulatory matters, to dealing with tax, wills and prenuptial agreements. Find Out More
Professional advisorsWe can help you to provide the robust and reliable service that your clients expect. We’ll also be in your corner for personal matters and protecting your interests if professional issues arise. Find Out More
How else can we help?
We offer a full range of services to individuals and businesses. Find out how we can help you solve challenges and maximize opportunities.
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Our website will give you a flavour of the advice we provide - if you would like to talk to us for more information, please contact our client services team who will be happy to assist.