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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Blogs

ICAEW Disciplinary Committee highlights the seriousness of dishonesty allegations

Taking stock of money laundering obligations in light of recent ICAEW Disciplinary decision

Top tips for managing an accountancy disciplinary investigation

Revised ICAEW Disciplinary Bye-laws introduce new fitness proceedings

Adverse employment disciplinary findings do not spell the end of your career

ICAEW takes a dim view of failure to comply with an investigation

Professional regulatory hearings - looking ahead to 2016

Case update: A salutary reminder to regulated professionals and students on the use of social media

Professionals: beware the excesses of the Christmas party…

Senior Managers and Certification Regime - FCA focuses on enforcement and DEPP

Successful challenge to FCA prohibition order

Case update: Upper Tribunal finds FCA sanction was not commensurate with facts found proved by FCA (then the FSA) and reduces financial penalty imposed

Holding individuals to account in financial services - unexpected shift in burden of proof

Financial Reporting Council demonstrates its strong stance on dishonesty

A tax advisor's professional responsibilities

Senior Managers Regime: Tougher regulation of senior bankers and non-executive directors (NEDs) confirmed

HMRC increasingly takes criminal prosecution route

New offence of “Reckless management of a bank” – will it be effective? And what are the risks?

Regulators ask banks for better protection for whistleblowers…but can the Regulators maintain it?

Financial services: Penalties for manipulation in five additional benchmarks – Consultation announced

Gold Fix Manipulation – FCA says it is possible but “no clear evidence”

The end of the silver fix – has the LIBOR affair destroyed trust in all banking benchmarks?

What type of case will result in the first Deferred Prosecution Agreement?

The FCA publishes draconian new “name and shame” powers

Deferred Prosecution Agreements: proposal on how “peculiarly British” DPAs will work in practice

First FCA fine imposed as they continue FSAs work in sanctioning banks for money laundering failings

UK Financial regulatory landscape: A quick guide to the new Financial Conduct Authority, Prudential Regulation Authority & Financial Policy Committee

More criminal prosecutions planned for tax evasion: investors beware, there is no ‘fuzzy line’

Corporate self-reporting corruption and fraud to the SFO: can you avoid prosecution in the David Green QC era?

The Serious Fraud Office and self-reporting: recalibrating the risk

Deferred Prosecution Agreements - certainty for corporates?

Deferred Prosecution Agreements - a lost opportunity?

Serious Fraud Office: increased use of restraint expected

FSA’s AML thematic review gets a new scalp - Turkish Bank (UK) Ltd fined £294,000 for money laundering failings

The SFO: turning around the nightmare on Elm Street?

The FCA and the future of credible deterrence in the financial markets

The Serious Fraud Office sees the light (again)

Internal investigations - trending now!

FSA - another bank fined for money-laundering failings

Search and seizure: cash can be seized without the need to explain the reason

Deferred prosecution agreements - the road ahead?

David Green’s early challenges as new SFO Director

National Fraud Indicator records annual losses of £73bn

Is there "fairness" in the FSA's publication of its Decision Notices?

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+44 (0)20 7814 1200

enquiries@kingsleynapley.co.uk

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