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

"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

"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

"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

AML update for legal practitioners and law firms – July 2022

This update covers recent developments relating to the regulation of money laundering in the legal sector and implications for legal practitioners and law firms. Specifically, four updates are explored. The first relates the SRA’s AML information-gathering exercise, undertaken as part of its role as anti-money laundering supervisor under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017. Second, we look at HM Treasury’s response to its consultation on reform of the UK AML regime. Relevant changes emanating from this are expected to come into effect on 1 September 2022 by way of new secondary legislation entitled ‘The Money Laundering and Terrorist Financing (Amendment) (No. 2) Regulations 2022’. The third development concerns HM Treasury’s approval of the updated Legal Sector Affinity Group (LSAG) Guidance which was issued in 2021. Finally, and linked to this, two new LSAG Advisory Notes have been published which serve to clarify expectations of the Legal Sector Professional Body Supervisors, including those of the Solicitors Regulation Authority (SRA), in relation to particular topical areas of risk.

“Education, too?”: tips for investigating sexual allegations in schools and higher education settings

Worldwide the #MeToo movement continues to grow and shift. In the past 12 months alone, we have seen a marked rise in the number of reports being investigated by schools and tertiary education providers about allegations of sexual offences, harassment and abuse. It seems that these reports will only continue to grow as children and young adults become more equipped and confident to make reports of such conduct, with more platforms such as Everyone’s Invited (which reached its two-year anniversary this month) accessible for their voices to be heard.

Press Round-Up: Regulatory and Professional Discipline - April 2022 - May 2022

On 27 May 2022, the FRC published their key findings and good practices following audit quality inspections at the seven largest audit firms.

The Independent Regulator for English Football (IREF) is approved – but when is kick-off?

The Government has endorsed all the strategic recommendations set out in the fan-led review of football – paving the way for the establishment of an independent regulator for English football (IREF).

Food Standards Agency tightens regulation of CBD food products

In a bid to better regulate the public sale of legal cannabidiol (CBD) ingestible products, the Food Standards Agency (FSA) has published a list of CBD food products that have been given the green light to remain on sale to the general public in England and Wales, at least for the time being. This is a significant development and places the UK as the first country in the world to regulate these products. In this blog, we take stock of this evolving regulatory landscape, the key events that have shaped and continue to shape it, and what this means for companies and individuals already in the industry, those considering entering it, and those considering investing in it.

High Court Quashes Interim Suspension Order – an aide memoire to Interim Orders – Proportionality, Reasons and the Regulators’ Reach

At the material time, the Appellant Doctor had been working as a General Practitioner (‘GP’) as a Partner in a GP Practice (‘the GP Practice’) until August 2021; having qualified in 2004 and has practised for more than 15 years with no previous fitness to practise complaints or findings. On 09 November 2021, an Interim Orders Tribunal (‘IOT’) of the Medical Practitioners Tribunal Service (‘MPTS’) imposed an Interim Suspension Order (‘ISO’) on the Appellant’s registration for a period of 18 months. The Appellant appealed the imposition of the ISO. The Court agreed and overturned it whilst providing advice to the GMC that it may want to consider applying for a new Interim Order no more restrictive than conditions

Another case, another reminder of the importance of demonstrating insight

Veeravalli v General Medical Council [2022] EWHC 747 (Admin). At the material time, the Appellant doctor had been working as a Consultant in Obstetrics and Gynaecology at Tameside and Glossop Integrated Care NHS Foundation Trust (‘the Trust’) since December 2010. Following a hearing before a Panel of Medical Practitioners Tribunal (MPTS) in September 2021, the Appellant’s fitness to practise was found to be impaired. The Panel imposed an order of conditions on the Appellant’s registration for twelve months.

Client selection: The next frontier in the evolution of legal ethics

'Standards of professional conduct change as time passes. What is entirely proper for one generation may be slightly irregular for the succeeding generation and highly improper for the next.'

The emergence of the private medical cannabis market and the risks of private prescriptions

In September 2020, the first NHS prescription for cannabis medicine was issued to Billy Caldwell. This brought hope to him, his family and so many others that this medicine would become readily available to those patients who so desperately need it.

The ICAEW intends to update its disciplinary framework: how might this affect your obligations as a member?

The ICAEW Regulatory Board is currently consulting on proposed changes to the ICAEW disciplinary framework, and is seeking views by 15 March 2022, with the intention to launch a new set of “Core Disciplinary Bye-Laws” and a new “Regulations Handbook” this summer.

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

In a recent report published by the Standards and Regulation Board of the Royal Institution of Chartered Surveyors (“RICS”), a number of major reforms have been proposed to the UK property valuation sector.

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.

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

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

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

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

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