Regulatory and Professional Discipline

"This team has nationwide capability and is hot on the heels of the market leaders." (Chambers and Partners UK, 2010)

We have a large and expert group of lawyers dedicated to representing individuals and regulatory bodies from a number of professions and regulated sectors including the financial sector, legal professionals, health professionals and accountants, to name but a few.  

Individuals

If as a professional you are investigated for negligence or misconduct or charged with a disciplinary offence by one of the regulatory bodies, it can be an extremely distressing experience and potentially devastating for your career. You need immediate expert legal advice to understand your options and to devise a strategy in what can often become a very fast moving environment. Our experience and expertise enable us to respond quickly to your circumstances and give clear advice guiding you through the complexities of this area of law.  Proceedings taken by a regulatory body may impact on an individual's employment status and an employer may conduct a parallel investigation and/or disciplinary proceedings.  We are able to advise on the employment law aspects of regulatory and professional disciplinary proceedings.  

Our regulatory and professional discipline team is assisted where necessary with expert help from lawyers in related areas within the firm: criminal litigation, civil litigation, employment, personal injury, medical negligence and inquests.This means that we are uniquely placed to deal with a range of regulatory and professional disciplinary investigations and proceedings by bodies such as the Financial Services Authority (FSA); investment exchanges such as the London Stock Exchange (LSE);  professional bodies such as the Solicitors Regulatory Authority (SRA), Bar Council,  General Medical Council (GMC) and Institute of Chartered Accountants in England and Wales  (ICAEW); and enforcement authorities such as the Health and Safety Executive (HSE) and the Environment Agency.

Regulators

We have dedicated teams representing the Health Professions Council (HPC) and Security Industry Authority (SIA) in prosecuting, preparing and presenting cases before disciplinary committees or the courts. Our lawyers are Clerks and legal advisors to the Professional Conduct Committee of the Architects Registration Board. Michael Caplan QC sits as a Chairman of the Police Discipline Appeals Tribunal. We have drafted practice notes and guidance for the solicitors profession on behalf of the Law Society of England and Wales and the Solicitors Regulation Authority. The knowledge and expertise that we have gained over many years positions us well to advise other regulatory bodies on a one-off or regular basis on the full range of regulatory issues that can occur.

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