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Regulatory

We provide a clear path through the most complex regulatory issues

Our experienced lawyers provide a prompt, proactive and compassionate service and understand the importance of achieving the very best outcome for your unique situation.

Find out how we can help

"What I look for in a solicitor is timeliness, sector understanding and value for money. The team at Kingsley Napley excels in all these areas."

Chambers & Partners, 2024

"The team has its finger on the pulse of professional regulation, enabling it to give clear and nuanced advice."

Chambers & Partners, 2024

"Kingsley Napley is consistently impressive and its team is very strong in legal services."

Chambers & Partners, 2024

"Kingsley Napley is the market leader in professional discipline and regulation."

Chambers & Partners, 2023

"The team is always responsive and approachable."

Chambers & Partners, 2023

"The team is exceptionally experienced in a wide range of regulatory frameworks, which ensures that we always receive well-rounded advice and are kept abreast of developments in other regulatory areas."

Chambers & Partners, 2023

"They provide rigorous and accurate legal support that demonstrates a significant understanding of the regulator, the process and the complaint."

Chambers & Partners, 2022

"They maintained a strong focus on the key issues, provided sound advice and engaged effectively with the regulatory body during a period of severe disruption."

Chambers & Partners, 2022

"It's a really bright set of lawyers who are really down to earth and approachable. They have the experience and the knowledge to pick up anything."

Chambers & Partners, 2022

"A brilliant team at all levels. Excellent lawyers and strategists, and totally committed to their clients. They are my first choice when asked to recommend solicitors."

Legal 500 UK, 2023

"Always so happy to help, provide input and assist with the problem. The lawyers approach matters with a can-do attitude, and bring solutions to the table using their wealth of knowledge of professional regulation."

Legal 500 UK, 2023

"Really professional. Do what they say they will do."

Legal 500 UK, 2023

"Good knowledge of the area, good grasp of commercial realities, and great for their understanding of the needs of their clients and the challenges they face in the regulatory space."

Legal 500 UK 2022

"Incredible depth of knowledge of regulatory law – and, more importantly, up-to-date and practical experience of regulators and their expectations."

Legal 500 UK 2022

Our regulatory team is consistently and independently recognised by Chambers UK and Legal 500 as a leader in the market.
 

Our team of specialist and highly experienced lawyers act for individuals, organisations, corporates and regulators, providing advice on regulatory compliance, investigations, adjudication, enforcement and prosecutions. We help clients respond to regulatory investigations and interventions when the continued operation or reputation of the individual or the business is at stake.

We advise and support professionals and businesses in all aspects of their dealings with UK regulators and other agencies with regulatory enforcement powers across the financial servicesaccountancy and finance, legal and healthcare sections.

Ensuring compliance with the increasingly complex and pervasive nature of regulation in the UK requires expert advice and support. Whether you or your organisation needs help before or after a regulatory intervention, clear and decisive advice is required. With your reputation, ability to run your organisation or your ability to practise in jeopardy, we bring clarity in often stressful and emotional circumstances.

Many of our clients have complex legal problems that require the help of lawyers from across the firm, including those from our criminal litigation, employment, company and commercial, public law and dispute resolution teams. Our cross-practice approach ensures that clients receive seamless advice and that their legal problems are analysed from every necessary angle.

You can expect a prompt, proactive and compassionate service from lawyers who understand the importance of achieving the very best outcome for your particular situation.

Our fees

Most of our services are offered on an hourly rate basis and as many of our clients’ matters are complex and often involve multiple parties, there is rarely a typical case. Our clients are given an estimate of costs after our initial meeting or as part of the engagement process. There are some areas where we are able to be more indicative and, as in accordance with the Solicitors Regulation Authority (SRA) guidance on price transparency, we have published our price and service information where it is possible to be upfront about charges without knowing all the details of the matter.


 

Latest blogs & news

Workplace risk assessments: understanding legal duties under the Management of Health and Safety at Work Regulations 1999

Ensuring the safety and health of employees is a cornerstone of responsible business practice in the UK. At the heart of this responsibility lies the legal requirement to carry out workplace risk assessments—a duty enshrined in the Management of Health and Safety at Work Regulations 1999 (MHSWR). This article sets out the legal framework surrounding risk assessments, outlines practical steps for compliance, and includes expert insights from Andrew Sanderson of Kingsley Napley and Craig Lydiate of Eighty20 Risk Systems.

Law students: academic misconduct and the SRA early character & suitability assessment

Pursuing a career in law is already a significant challenge without the added stress of worrying whether past mistakes could block your path to becoming a solicitor. Early-life convictions, cautions, academic disciplinary actions, or financial issues may all impact your eligibility for admission by the Solicitors Regulation Authority (SRA).

Recent changes to non-disclosure agreements: what do students need to know?

The Ministry of Justice published Guidance on 2 June 2025 regarding the introduction of new legislation to prohibit the use of non-disclosure agreements (“NDAs”) by higher education institutions in relation to certain complaints under the Higher Education (Freedom of Speech) Act 2023 (“the Act”). The changes, which had originally been given Royal Assent in 2023 but were placed on hold when the new Government came into power, took effect on 1 August 2025. The higher education sector is leading the way when it comes to the use of NDAs and while the changes will not see a total ban on NDAs, it paves the way forward for greater transparency and accountability during student misconduct proceedings.

Press Round-Up: Regulatory and Professional Discipline – June and July 2025

Here is a press round-up in the following sector: Regulatory and Professional Discipline, covering periods from June to July 2025.

Rethinking enforcement strategy: Key proposals from the BSB's Enforcement Consultation

The Bar Standards Board (BSB) has recently launched a consultation as part of its work towards a much-needed modernisation of its enforcement functions. The consultation seeks feedback on proposed changes to the enforcement regulations under Part 5 of the BSB handbook. It is open until Wednesday 15 October 2025, with a second consultation on the draft regulations to follow in 2026. The new regulations are scheduled to come in effect in 2027.

Tech-Driven, Ethically Bound: New FRC and ICAEW Guidance on AI Use in the Accountancy Sector

Artificial Intelligence (AI) and digital tools are rapidly transforming the accountancy sector with promises of enhanced efficiency, insight and audit quality. Embracing this innovation wave however, does not come without risk, and regulators are increasingly alert to the ethical implications. The FRC has very recently issued new guidance on the use of AI in audit, coinciding with the ICAEW’s new technology-centred revisions to its Code of Ethics, which came into force on 1 July 2025. Responsible and ethical use of AI is now therefore no longer optional, but a regulatory expectation. 

Changes to the Money Laundering Regulations: Panic stations or steady course?

HM Treasury has published its response to the 2024 consultation on the Money Laundering Regulations, and at first glance, the proposed changes appear to be constructive, and in some cases, quite welcome.

Nearly half of UK accounting firms are open to private equity investment, Kingsley Napley survey reveals

Nearly half (46%) of UK accounting firms are open to private equity investment, a survey undertaken by law firm Kingsley Napley reveals

Understanding the changes to the ICAEW's Code of Ethics: a three-part series

The ICAEW has indicated that it is expanding the definition of “Professional Behaviour” in its Code of Ethics to cover bullying, harassment, victimisation and unfair discrimination.  Senior Leaders in accountancy firms need to be mindful of this important change: what should you do when behaviours which might breach the principle of Professional Behaviour are identified? An investigation should be undertaken, but it must be robust, fair and comprehensive.  Potential criminal issues should also be navigated very carefully.  You will then need to decide if, and how, any poor behaviours are reported to the regulator.

The Terminally Ill Adults (End of Life) Bill – historic legislation passes through the commons - A practical guide as to its application

On 20 June 2025, The Terminally Ill Adults (End of Life) Bill (the Bill) was passed through the House of Commons, with 341 MPs voting in favour of the Bill and 291 MPs against the Bill, with a narrow majority of 23 votes.On 20 June 2025, The Terminally Ill Adults (End of Life) Bill (the Bill) was passed through the House of Commons, with 341 MPs voting in favour of the Bill and 291 MPs against the Bill, with a narrow majority of 23 votes.

The Care Quality Commission’s Bid to Progress

What’s the issue?

The Care Quality Commission (CQC)’s update in May 2025 inevitably invoked a strong response with many in the health and social care sector. The regulator has openly acknowledged the significant delays that have affected providers in recent months - including in registration, assessment, report publication, and the handling of statutory notifications. 

RICS shines its spotlight on the use of AI: have your say

Another week, another consultation deadline for a proposed RICS standard. As foreshadowed in our previous blog, the Royal Institution of Chartered Surveyors (RICS) is currently seeking feedback on its proposed Responsible Use of Artificial Intelligence, 1st Edition standard (Proposed Standard).

The time for feedback is today: RICS’ updated Countering Financial Crime Standard

Time is running out for Royal Institution of Chartered Surveyors (RICS) members and other stakeholders to have their say on RICS’ proposed second edition of its Countering Financial Crime Standard (Proposed Standard).

 

Press Round-Up: Regulatory and Professional Discipline – February and March 2025

A summary of cases and news relating to Regulatory and Professional Discipline between February and March 2025

Navigating the Green Frontier: Clinicians' Role in the Prescription of Medical Cannabis

The landmark introduction of The Misuse of Drugs (Amendments) (Cannabis and Licence Fees) (England, Wales and Scotland) Regulations 2018. paved the way for legalised access to medicinal cannabis in the UK. Medicinal cannabis was subsequently defined as a special medicinal product which could be used in accordance with a prescription.

Starting a private prosecution – evidential sufficiency & duty of candour

A recent High Court decision Whitehead v Westminster Magistrates’ Court [2024] EWHC 2868 (Admin) serves as a helpful reminder of the steps that one must take to establish valid grounds before a summons can be issued in a private prosecution.

Kingsley Napley reappointed by The General Pharmaceutical Council

Kingsley Napley LLP is delighted to have been reappointed as a panel law firm to The General Pharmaceutical Council (GPhC) following a competitive tender process.

Press Round-Up: Regulatory and Professional Discipline - December 2024 - January 2025

A summary of media coverage between December 2024 and January 2025

We need to talk about cancel culture in Higher Education

There has been a demonstrable culture shift over the last five years. Social media is now an entrenched part of our lives. It has many uses, most of them very beneficial, but it has also led to some consequences which were unlikely unforeseen during its creation. Notably, at the click of a button, news and stories can become viral, which in turn has seen the rise of ‘cancel culture’.

Kingsley Napley ramps up ‘Stratify’ with appointment of Juliet Oliver as Managing Director

Further senior hire for new regulatory advice service for changing legal sector as Juliet Oliver joins from the SRA  

Regulatory Insights

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Blogs

Rethinking enforcement strategy: Key proposals from the BSB's Enforcement Consultation

The Terminally Ill Adults (End of Life) Bill – historic legislation passes through the commons - A practical guide as to its application

The Care Quality Commission’s Bid to Progress

RICS shines its spotlight on the use of AI: have your say

The time for feedback is today: RICS’ updated Countering Financial Crime Standard

Press Round-Up: Regulatory and Professional Discipline – February and March 2025

Navigating the Green Frontier: Clinicians' Role in the Prescription of Medical Cannabis

Changes for accountancy firms to keep a close eye on in 2025

Festive frolics or regulatory wrongs in accountancy firms?

SRA Guidance – internal investigations and guidance for in-house advisers

Navigating assisted dying in clinical practice: regulatory issues for doctors

Festive frolics or regulatory wrongs in accountancy firms: a three-part podcast series

AI Regulation – where next for law firms?

Top Tips for Handling a Royal Institution of Chartered Surveyors (RICS) Investigation

The Care Quality Commission’s New Inspection and Regulation Regime

AML update for Lawyers and Law Firms

Medical Cannabis – where are we now (part 2)?

BSB issues new Social Media Guidance

Inappropriate emails - ICAEW case provides helpful guidance on the threshold for discreditable behaviour

Thematic Review on the use of Non-Disclosure Agreements in workplace complaints - SRA reports further room for improvement

Will the rise in students using ChatGPT lead to an increase in academic misconduct proceedings?

New report commissioned by RICS suggests need for significant reform to the real estate valuation sector

What will 2022 bring for audit and accountancy regulation?

Medicinal Cannabis – Where Are We Now?

Care Home sentencing a salutary reminder of the importance of fire safety responsibilities

Costs not recoverable on ‘the nod’ - A warning for private prosecutors R (on the application of T M Eye Ltd) v Southampton Crown Court [2021] EWHC 2624 (Admin)

Mythbusting: Motivation in Starting a Private Prosecution

Harcus Sinclair v Your Lawyers - Another nail in the coffin of solicitors’ undertakings?

The FCA proposes new listing guidance for cannabis-related businesses – a positive step for investors concerned about the Proceeds of Crime Act

Preventing solicitor burn-out: more than ‘just an HR issue’

Audit reviews: the process, pitfalls and published themes – a focus on FRC Audit Quality Reviews

Top tips for managing an accountancy disciplinary investigation

The SRA’s updated NDA warning notice introduces welcome clarity

Unacceptable Professional Conduct and Conviction cases: avoid the pitfalls of applying the wrong tests to the wrong facts

From good business sense to regulatory need: Future perspectives on how technology will transform regulatory compliance

The use of artificial intelligence: interesting technological developments in the legal and accountancy sectors

The SRA Standards and Regulations – a year on

Victims’ Code set to change

Intractable insight: suspension is not enough

Fit and proper person requirements for directors in the health and care sector – what does this mean and what are service providers required to do?

FAQs : The SRA's early character and suitability assessment

Insolvency Practitioners: the regulator’s reach is wide when it comes to integrity

Cannabis and the UK investor – two years on

Audit reviews: the process, pitfalls and published themes – how to get the best outcome when faced with an adverse finding

Student misconduct allegations and the right to a fair hearing

How Universities should investigate a complaint under the disciplinary procedure

The first NHS prescription for a child’s cannabis medicine - is the case of Billy Caldwell an outlier or the start of a trend?

When does a regulator pay costs? The Court of Appeal has spoken

COVID-19: The Care Quality Commission announces resumption of routine inspections

The first crucial steps: how Universities should respond to allegations of misconduct

Getting it right from the start: University policies for dealing with non-academic misconduct complaints

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Talks

Understanding the changes to the ICAEW's Code of Ethics: when and how to report a potential breach of the code

Regulated Professionals

Doctors under Investigation

Understanding the changes to the ICAEW's Code of Ethics: implications for firms

Understanding the changes to the ICAEW's Code of Ethics: key updates to the principle of professional behaviour

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