Professional discipline and regulatory
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 (HSE) Executive. 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.
‘As a senior executive and business leader, your conduct is under constant scrutiny, with politicians, regulators and enforcement agencies willing to consider your conduct outside of the workplace as well. If you are concerned about an issue or if you are involved in any way with an internal or external investigation, seek expert independent legal advice quickly to manage the potential impact to your own position and reputation’ says Harvey Knight, a partner who focuses on regulatory investigations and enforcement.
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