Defending Accountants and Accounting Firms

‘knowledgeable about complex financial regulatory issues’. Legal 500 UK 2017

Faced with ICAEW disciplinary, ACCA disciplinary or other regulatory investigation? We understand that circumstances can arise in life which could put your professional registration in jeopardy and the distress this can cause to you and your family.

We offer a dedicated and compassionate service designed to ensure that you are properly guided through the nuances of this area of law. Our clear, practical advice will enable you to understand your options at each stage of the process and to devise a strategy for you.

Whether you are an accountant or accountancy firm facing a disciplinary hearing, a regulatory interview or an investigation into your professional conduct following a complaint, we have a longstanding reputation for excellence in providing strategic advice to regulated individuals and firms in the financial services industry. 

Our specialist professional discipline and criminal teams have been independently recognised for the quality of the service we provide and a number of our lawyers are recommended as leaders in this field. Indeed our Regulatory team is top ranked in two of the UK’s leading legal directories, Chambers Guide to the Legal Profession and the Legal 500.

Our service

We have substantial experience in defending Chartered Accountants, accounting technicians and accountancy firms. Our approach is to work closely with you to ensure that the advice received will help secure the most favourable outcome.

We particularly act for those seeking advice in relation to regulatory investigations and disciplinary hearing proceedings before professional bodies, some of which include:

For accountants and accountancy technicians 

We can assist you in relation to all aspects of contact with your regulator or professional body, from an initial request for information, to how best to deal with a full disciplinary hearing in front of a tribunal panel. We also have dedicated advocates who can appear on your behalf should a complaint made against you ultimately be heard by a Disciplinary Tribunal Panel. We appreciate that, as a busy professional, you may need to contact us outside of normal business hours. We are therefore on hand when you need us to address any worries that need to be dealt with urgently.


For firms

From simple advice on your training responsibilities for student accountants, to dealing with queries from your regulator’s Audit Committee, we can advise you on all types of regulatory issues.

We are also experienced in providing advice on the accountancy regulators’ practising certificate regimes, in particular whether practising certificates are required for particular disciplines in specific types of financial institution.

Our specialist team also has significant experience in Financial Reporting Council (FRC) investigations. Should you or your firm be contacted by the FRC, we can advise you on dealing with interviews, how to correspond appropriately with the FRC and can provide detailed advice on how to deal an allegation of misconduct, should it be made against you or your firm.


For students or provisional members

Whether you are a student accountant, or the employer of a student, we can assist you with queries in relation to applications for full membership of a regulatory body. Such advice includes how to deal with prior convictions or any matters which may affect full registration and which may arise in an interview.

We can provide advice on dealing with the regulator, to seek the best chance of being awarded full registration.


Please contact Julie Matheson or Jenny Higgins for further information or if you have an enquiry.

Navigating regulation in the accountancy world

 ‘knowledgeable about complex financial regulatory issues’.

Legal 500 UK 2017

The "incredibly impressive" Julie Matheson receives praise from market commentators who say she is "personable, incisive and knows the factual area and legislation back to front.”

Chambers UK, A Clients Guide to the UK Legal Profession,  2017

Defending Accountants and Accounting Firms Comment

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