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

Student misconduct investigations – What is #trending ?

Poor investigation and disciplinary proceedings in universities for students accused of academic or non-academic misconduct are unfortunately common.  But what should Universities be doing to support those who are the subject of an investigation and how should universities ensure their procedures protect all parties involved?

Maintaining the boundaries of personal and professional life: new ethics guidance for professional accountants

The Consultative Committee of Accountancy Bodies (CCAB) has issued new guidance for professional accountants on the boundaries of professional and private behaviour, setting out for the first time a list of agreed common principles which will apply when a professional accountant’s behaviour in their personal life could become of regulatory interest to their professional body.

Fire Safety Act and Draft Building Safety Bill – what will they mean for those working in the built environment?

On 29 April 2021 the Fire Safety Act received Royal Assent after a protracted passage through Parliament. For those working in the built environment, the Act brings greater fire safety responsibilities, Hannah Eales of Kingsley Napley explains;

Prepare for Regulator Scrutiny of Law Firm Culture on Diversity

UK industry regulators are expected to take action if  rms have a toxic working environment on racial diversity.

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

In September 2020 the FCA published a statement regarding the listing of cannabis-related businesses (CRBs) in the UK. Since then several CRBs have been admitted to the London Stock Exchange (LSE) and appetite for investments in the medicinal cannabis industry continues to grow.

Adverse inferences and misinterpreting allegations: An analysis of the General Medical Council v Udoye [2021] EWHC 1511

Dr Azubuike Valentine Udoye (“Dr U”) appeared before the Medical Practitioners Tribunal (“the Tribunal”) facing allegations of dishonesty relating to his route of qualification as a General Practitioner (“GP”) in the United Kingdom. On 30 January 2020, the Tribunal found that his fitness to practise was not impaired, dismissing allegations of misconduct against Dr U. The General Medical Council (“the GMC”) appealed to the High Court against this decision, under its powers set out in section 40A of the Medical Act 1983.

Mandatory Covid-19 Vaccinations for Care Home Workers

This week, the Government announced that Covid-19 vaccinations will be made compulsory for care home staff, raising strong emotions on both sides of the argument.

Ollie Robinson and the ECB - what spin should be taken with historic offensive social media posts?

Ollie Robinson recently made his international debut for the England Cricket Team against New Zealand on 2 June 2021. However, for what should have been a memorable milestone for the 27-year-old as he took two of the three wickets on the first match of the Test series at Lord's, the occasion was instead marred by the media coverage surrounding historic racist and misogynistic posts on Robinson’s Twitter account that were unearthed that very same day.

Investigating Sexual Misconduct in Universities requires balance and fairness

New guidelines from the Office for Students are a step in the right direction for how serious allegations should be handled.

Law firms, regulation and culture

The UK’s legal market is rich and variegated. Firms come in different sizes, excel in different ways, have different geographical locations and in some cases different national heritages. To the outsider, some firms may seem similar to others of comparable size, location or work type. How they will differ is often only really understood by those that work there. 

What can we expect from the CQC’s new strategy for the changing world of health and social care?

On 27 May 2021, the Care Quality Commission (the “CQC”) launched its new strategy which 'champions regulation driven by people's experiences of care'.  The central tenet of the strategy is an 'unremitting focus on safety, requiring a culture across health and care that enables people to speak up and in this way share learning and improvement opportunities'.

When technology glitches do not amount to a procedural irregularity

As the world has made technological advances and more of us are working from home than ever before, we are all too familiar with computer problems whilst at work. However, whilst in some instances such glitches may give rise to a legitimate cause of action, the High Court determined that this will not always be the case.

Ethical imperatives

Julie Norris and Jessica Clay consider SRA entity regulation and the imperative to create an ethical (ergo, compliant) legal workplace.

All well and good

The pandemic has highlighted the importance of good mental health and resilience both in and out of the office. Bronwen Still and Lucinda Soon consider your obligations

Wording allegations as “sexual” or “sexually motivated”: An analysis of Haris v General Medical Council [2021] EWCA Civ 763

We previously wrote on the decision in Haris, in which the High Court considered and gave clarity on how professional regulators should consider wording allegations of a sexual nature.

In upholding the substantive decision of the High Court, the Court of Appeal (the Court) judgment in Haris v General Medical Council [2021] EWCA Civ 763 delivered this month (May 2021), adds further commentary on the wording of such allegations in disciplinary proceedings.

Should business leaders be held to the same standard of integrity as the professional accountants who advise them?

Last week, the ACCA published an extensive and extremely interesting report on ‘Gen Z’ and the future of accountancy, which discussed results from its global survey of over 9,000 young professional accountants (including students) aged between 18-25 years. The bulk of the report focuses on research findings concerning the career expectations of young people within the profession, we found one discrete finding particularly interesting relating to respondents’ perceptions of businesses in general. 

eSports vs. the Law

Gone are the days of computer gaming being viewed as a secluded activity; gaming is now a thoroughly social experience that attracts a global audience of millions and players can compete for large sums of money and celebrity. This burgeoning industry is largely in a virtual world and has developed in a blockchain, decentralised fashion. Often the UK government talks up the UK gaming industry and how keen the government is to support this sector, and there have been instances that show support, but when it comes to playing games competitively, law and regulations have not yet caught up.

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

Failing to promote a good workplace culture based upon a firm’s core values is a potential regulatory issue.

One Year On: Care Sector Challenges Arising from COVID-19

In this article, the first of three in a series, we focus on how the vulnerability of the care sector population, the availability of Personal Protective Equipment (‘PPE’) and comprehensive testing, and chronic workforce pressures have contributed to the scale and severity of the impact of COVID-19 in the care sector.

Services

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

Kingsley Napley team are contributing editors to Lexology Getting the Deal Through - Asset Recovery 2020

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?

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Blogs

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

StaRs: Time to prioritise, but not to panic

StaRs: The new ‘freelance’ solicitor: practical aspects and our predictions

Firms need to put legal ethics at the heart of their business

The role of a Financial Director – a life in the spotlight

The new Solicitors Accounts Rules: what has changed?

No finding of dishonesty – dispensed with in quick order

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