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

"The unyielding drive and innovative approach of its lawyers sets this firm apart from its competitors. Their depth of knowledge and experience is simply unparalleled. They are properly recognised as the market leaders in this area - an acknowledgment that is richly deserved".

Legal 500 UK 2020

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

"The firm is a force to be reckoned with – bright, ground-breaking and wildly impressive'"

Legal 500 UK 2020

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 accountancy 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.

WHAT CLIENTS AND DIRECTORIES HAVE SAID

"Kingsley Napley are an approachable and friendly firm of solicitors whose driving approach appears to focus on creating a connection with clients and contacts."

Chambers UK, A Client's Guide to the UK Legal Profession, 2020

"highly respected team combines enormous experience with a forward-thinking and creative approach"

Legal 500 2020

Kingsley Napley LLP's 'highly respected team combines enormous experience with a forward-thinking and creative approach'.

Legal 500 2020

"lawyers are responsive, cases are always investigated to a high standard and they have great and detailed knowledge of relevant legislation and its application in this field."

Legal 500 2019

They are outstanding; they have great depth of experience and knowledge"

Chambers UK, A Client's Guide to the UK Legal Profession,  2018

The team is professional, highly skilled and approachable. I am impressed with their handling of complex issues and their excellent communication"

Chambers UK, A Client's Guide to the UK Legal Profession,  2018

exceptionally experienced and well-respected’ team, ‘made up of creative thinkers who will always go the extra mile"

Legal 500 UK,  2017

The firm has strength in depth. It benefits from a stable of very effective and hard-working lawyers and a leadership team who are not afraid to innovate"

Chambers UK, A Client's Guide to the UK Legal Profession,  2017

They are obviously very strong in the field of professional regulation and their experience of working with other regulators is valued as it allows them to bring wider experiences and knowledge to working with us"            

Chambers UK, A Client's Guide to the UK Legal Profession,  2016

When it comes to healthcare-related matters, Kingsley Napley LLP is a ‘force to be reckoned with’, and ‘shines as an exemplar of a quality practice"

Legal 500 UK, 2013

no question that they are highly regarded in the professional misconduct field. The reputation of the firm is deserved... Interviewees consistently praise this 'excellent very professional firm"

Chambers UK, A Client's Guide to the UK Legal Profession,  2013

The lawyers are able to present cases to an exceptional standard, in terms of both advocacy and legal principles!"

Chambers UK, A Client's Guide to the UK Legal Profession,  2017

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

What will 2022 bring for audit and accountancy regulation?

Seismic shifts in the audit and accountancy regulatory landscape were set in motion last year, which are expected to continue to take shape and impact the sector during 2022. 

Moving with the times

The regulatory year ahead will see the SRA seeking to bolster its fining powers as it turns its attention to law firm culture, NDAs and technology; as well as more traditional areas such as anti-money laundering.

Medicinal Cannabis – Where Are We Now?

Guest author Edward Henry QC, of Mountford Chambers, considers the ongoing issues regarding access to medicinal cannabis, specifically relating to the treatment of children, in the United Kingdom (UK).

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

On 5 January 2022, Bupa pleaded guilty at Southwark Crown Court to breaches of the Regulatory Reform (Fire Safety) Order 2005. Bupa were ordered to pay a fine of £937,500 and prosecution costs of £104,000. This is the highest ever fine imposed for fire safety breaches under the Fire Safety Order in the UK.

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)

Last month, the High Court handed down judgement in R (on the application of T M Eye Ltd) v Southampton Crown Court reinforcing the correct approach to applications for an award from central funds for the costs of a private prosecution. Despite clear ‘Jurisdictional error’ on the part of the Crown Court, the appellant court took the opportunity to warn private prosecutors; applications will not be approved ‘on the nod’.

Mythbusting: Motivation in Starting a Private Prosecution

Private prosecutions provide an effective way to seek justice; and particularly in circumstances when the traditional prosecuting agencies are unable or unwilling to act. Conducted appropriately they can be a useful, efficient and cost-effective tool to secure punishment of the guilty.  Conducted badly they can be an expensive mistake with far reaching consequences. 

In this blog series we draw on our experience of both bringing and defending private prosecutions to help clarify some of the common myths and misunderstandings about private prosecutions. In this blog we look at whether having an ulterior motive in starting a private prosecution can lead to problems down the line.

Health and Safety - personal liability for directors operating in the built environment

The built environment presents health and safety risks like no other sector. Whether it be the risk of falls from height, hazardous substances, trapped by items collapsing or overturning, fire or moving vehicles there are a wide range of hazards that need to be managed from the outset. Directors can be held personally liable when health and safety duties are breached. In this blog we explore the scope of personal liability for directors in the built environment.

Mythbusting: Recovery of Costs in Private Prosecutions

Private prosecutions provide an effective way to seek justice; and particularly in circumstances when the traditional prosecuting agencies are unable or unwilling to act.   Conducted appropriately they can be a useful, efficient and cost-effective tool to secure punishment of the guilty.  Conducted badly they can be an expensive mistake with far reaching consequences. 

In this blog series we draw on our experience of both bringing and defending private prosecutions to help clarify some of the common myths and misunderstandings about private prosecutions.  In this blog we look at whether the private prosecutor is entitled to recover their full investigation and legal fees at the end of the case.

RICS launches new standards of conduct

The Royal Institution of Chartered Surveyors (‘RICS’) has announced revised Rules of Conduct (“the Rules”) which set out the core principles of professional practice for RICS’ regulated members and firms worldwide. The revised Rules will take effect from 2 February 2022 and are designed to represent a transparent system of conduct and regulation and bring RICS’ ethical standards into one clear framework.

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

Whether you are a professional individual or a firm, Regulated Members of the Royal Institution of Chartered Surveyors (RICS) are expected to comply with ethical, conduct and competence-related professional standards. When things go wrong and a Regulated Member has seemingly breached these standards, RICS may investigate and take disciplinary action.

Are builders ‘gaming the system’ to flout fire safety legislation?

Last week Assistant Commissioner Fire Safety, Paul Jennings of the London Fire Brigade stated that developers are ‘gaming the system’, looking to reach only the minimum standards required for building safety and ‘bending the rules’. AC Jennings explained that we are not seeing the cultural change within the built environment that we would expect, following the tragic events of the Grenfell Tower fire and the subsequent Hackitt review.

The FRC’s What Makes a Good Audit? report is timely as the audit regulatory landscape readies itself for change

The FRC has published a new paper aimed at audit firms and audit stakeholders containing best practice principles concerning how a good audit should be conducted and the elements indicative of a high performing audit practice.

How should panels deal with past allegations made by a complainant?

Conviction cases are ordinarily relatively straightforward for regulators. If a registrant is convicted of a criminal offence, the regulator will generally treat the fact of the conviction as proof the offence was committed – and take action to protect the public accordingly. See Achina v General Pharmaceutical Council [2021] EWHC 415 (Admin) for an example of the difficulties registrants face when they attempt to ‘go behind’ the facts of a conviction.

Returning to the office? MeToo

As the legal profession returns to the office after many months ensconced in home offices, many will be looking forward to the increase in social interaction and in-person activities which will inevitably follow. Alongside this, legal services regulators appear to be gearing up for a commensurate rise in bullying and harassment complaints. With developments apace in this area among the UK regulators and further afield, what are we likely to see next from the Solicitors Regulatory Authority (SRA)?

Move fast to fix NDAs if you want to avoid a ban- Iain Miller writes for The Times

The use of Non-disclosure agreements in sexual misconduct and discrimination cases is back in the headlines.   Iain Miller, Partner in Legal Services Regulation writes for The Times discussing NDA's reform.

Exploring cannabis regulations and investment in the UK

As the regulatory landscape around cannabis in the UK evolves, investors are looking toward cannabis companies as a socially conscious investment, but in the UK, the drug is a controlled substance, as such, careful considerations need to be borne in mind. Here, Shannett Thompson explains the legal landscape around cannabis and its implications for investing in cannabis as a UK national.

World Suicide Prevention Day

To mark Suicide Prevention Day and raise awareness of the prevalence of deaths by suicide in the UK, Kingsley Napley is set to host a mental health panel discussion on 10 September 2021.

Who can bring a claim when someone dies?

When a loved one dies, grief is difficult and there can be a lot to deal with.  If someone dies as a result of medical negligence or personal injury, then it’s important to consider who can bring a claim. 

Impact on solicitors’ undertakings given in property transactions post-Harcus Sinclair v Your Lawyers

Property analysis: Iain Miller, partner at Kingsley Napley, discusses the Supreme Court
decision in Harcus Sinclair LLP v Your Lawyers Ltd and its possible impacts on solicitors’
undertakings given in property transactions.

School exclusions – what you need to know

Being excluded from school can be a distressing and difficult time for both the student and their parents/carers. The process can be daunting for families, thereby requiring independent and pragmatic advice. This blog explains the types of school exclusion and how it differs between state and independent schools.

Services

Advising Solicitors and Law Firms

We provide support to legal businesses and individuals across the range of regulatory challenges they may face.

Defending Accountants and Accountancy Firms

We have experience of defending and prosecuting in regulatory prosecutions. Our approach to advising clients is both orchestrated and seamless.

Legal Defence for Healthcare Professionals

Allegations of poor practice or misconduct can devastate a practitioner’s confidence, their reputation and their career.

Advice for Regulators and Public Bodies

We have acted for regulatory authorities for several decades, providing advice concerning their regulatory functions and operations.

Advice for Professionals

Our regulatory team is independently and consistently top ranked by the legal directories for our work in professional services.

Licensing, Hospitality and Leisure

We help companies operating within the Licensed Trade and Leisure Industry to navigate this complex area lawfully and commercially.

Setting up a healthcare practice

Specialists in advising individuals and organisations looking to set up a healthcare practice.

Students and Universities

We are experts in disciplinary and fitness to practise investigations conducted by Universities, as well as in the associated areas of safeguarding and the application of the Equality Act 2010.

Coronavirus (COVID-19): Healthcare Regulation FAQs

We answer some of the FAQs that have been posed to us by frontline health and social care staff during the COVID-19 pandemic.

Advising Barristers and Judges

We provide a specialised service to barristers and judges accused of professional misconduct, in particular those faced with BSB and JCIO investigations.

Regulatory Insights

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News

Students accused of sexual misconduct barred from finishing courses - Sandra Paul & Shannett Thompson quoted in The Telegraph

Mid-tier auditors fear the scrutiny of big mandates - Julie Matheson quoted in the Financial Times

Press Round-Up: Regulatory and Professional Discipline February 2021 - March 2021

Under pressure – Jessica Clay quoted in The Law Society Gazette

Press Round-Up: Regulatory and Professional Discipline December 2020 - January 2021

Hannah Eales discusses the Fire Safety Bill on the Building Services Podcast

Press Round-Up: Regulatory and Professional Discipline October - November 2020

Is the grass always greener? The legalities of investing in cannabis for UK Investors - Nicola Finnerty writes for Investment Week

Press Round-Up: Regulatory and Professional Discipline August - September 2020

Press Round-Up: Regulatory and Professional Discipline June - July 2020

Press Round-Up: Regulatory and Professional Discipline April - May 2020

The GMC’s reassurances to GPs around Covid have been meagre - Julie Norris writes for Pulse

FRC announces plans to create a “more forceful regulator”.

Press Round-Up: Regulatory and Professional Discipline October - November 2019

New dawn for legal services as solicitors set free

Press Round-Up: Regulatory and Professional Discipline Summer 2019

Misconduct: Managing disciplinary procedures in tandem with external processes - Clodagh Hogan and Shannett Thompson write for the Employment Law Journal

New code for private prosecutions will embed their place in criminal justice - Melinka Berridge writes for The Law Society Gazette

Government promises NDA legislation - but is light on details - Iain Miller quoted in The Law Society Gazette

Social Media Tips for Lawyers - Sian Jones writes for PLC Magazine

If God had wanted us to fly he would have given us wings (or cannabis) - Shannett Thompson & Nicola Finnerty quoted in Citywealth

Disciplinary hearings rise 40 per cent in five years - Iain Miller quoted in The Times

Press Round-Up: Regulatory and Professional Discipline April 2019 - May 2019

Industry group despair at 'disproportionate & senseless measures' put on CBD products - Shannett Thompson quoted in Nutraingredients

How to manage internal disciplinary procedures - Clodagh Hogan and Shannett Thompson co-author article in People Management

Press Round-Up: Regulatory and Professional Discipline January 2019 - March 2019

Press Round-Up: Regulatory and Professional Discipline December 2018 - January 2019

NDAs under fire as ‘weaponising’ mechanism to silence victims of sexual crimes - Iain Miller quoted in IBA article

Press Round-Up: Regulatory and Professional Discipline October 2018 - November 2018

Law firms investigated for gagging alleged victims of sexual abuse - Iain Miller quoted in The Times

Press Round-Up: Regulatory and Professional Discipline August 2018 - September 2018

Press Round-Up: Regulatory and Professional Discipline May 2018 - July 2018

Iain Miller named as "Lawyer of the Year" for Professional Malpractice Litigation

Price transparency: is it about to eat your lunch? Iain Miller writes for The Law Society's Legal Compliance Bulletin

Shannett Thompson in Brummell's sixth annual 30 Ones to Watch list of London's City stars

Regulation of Health and Social Care Professionals in England - The Government Responds

When will courts intervene in the course of disciplinary proceedings?

View all

Blogs

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

Mandatory Covid-19 Vaccinations for Care Home Workers

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

Coaching, Teaching and Support Work in Lockdown: Safeguarding and Data Protection considerations when working with children online

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

Sexual misconduct allegations in law firms are ever-present – following due process is key

Do you know what your regulatory obligations are before becoming a Trustee?

Court confirms the importance of clear communication in student proceedings

Audit reviews: the process, pitfalls and published themes

“Regulation beyond the echo chambers”: who is listening?

Can one regulator investigate conduct associated with a Registrant’s other profession?

The Financial Reporting Council announces its plans for the ‘Big Four’ to ring-fence their audit practices

The consequences of failing to adhere with Care Quality Commission’s regulatory framework for registration

Who is responsible for assessing privilege in FRC cases: an auditor under investigation or the client to which the privilege relates?

Canada versus the United Kingdom – an overview of the cannabis market

Best practice guide for charities conducting private prosecutions

Appealing and challenging university disciplinary decisions: what students need to know

Train of thought: The Jackson-Salmond Saga

Reflections on Westminster Higher Education Conference, Priorities for tackling sexual violence and harassment in higher education

Updates to the Care Quality Commission’s (CQC) COVID-19 Guidance

Can anyone use the designation ‘Chartered Accountant’?

CQC guidance and what it means for care providers during the Coronavirus pandemic

Guidance and updates for regulated legal professionals during Coronavirus pandemic

Coronavirus Act: how the emergency legislation will impact healthcare professionals

Is the FRC considering whether Sarbanes-Oxley should cross the waters?

Tis’ the season…to comply with your professional obligations

Coronation Street delves into the legal problems of the GP Good Samaritan

Uber back in the news

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