Regulatory Enforcement Action: Inspections, Investigations and Interviews

We are recognised litigation experts, across the firm and in this specialist area of regulatory enforcement advice. Our top-ranked team has built a reputation for the quality and efficacy of the advice that we provide to clients who are subject to regulatory enforcement action taken by regulators and other bodies with regulatory enforcement powers.

Our service provision model is flexible; whether you are a private individual or a large multi-national corporation, our expert litigation lawyers can assist.

We have a strong reputation for dealing with the exceptional events that occur in the life of a business and responding to regulatory intervention where the outcome may ultimately impact on an organisation’s reputation or continued ability to operate. We advise clients subject to regulatory investigations, following interventions or inspections by a regulator and following other enforcement action, such as the imposition of cease and desist notices, warning notices, penalty and other compliance notices. We also provide advice on how to conduct internal investigations following a serious untoward incident or to ensure compliance with the prevailing applicable schemes, such as the Independent Healthcare Sector Complaints Adjudication Service (ISCAS) Code of Conduct 2013.

The interface between an agency looking to take enforcement action and a business or regulated person, requires careful management. The two most typical and instinctive responses for many professionals involved in a regulatory investigation are to either respond fully, providing responses to all questions put, or to not engage at all, assuming, or hoping that it will all go away. Our experience in advising clients subject to regulatory enforcement action is that early collaborative engagement through a lawyer can often secure an unexpected outcome. Whilst candour is required (by law) in certain circumstances, the limit of regulator’s and other enforcement bodies’ powers should be carefully considered before questions are answered.

We understand the importance of being available to our clients outside of the normal working day and at short notice; we can quickly mobile a cross-practice team, drawing on lawyers from our award winning criminal team, in order to provide support in an inspection or interview.

Recent experience

Health and social care

Advising a consultant in a safeguarding investigation into their alleged inappropriate intervention in the care of a relative, which was closed with no further action taken

Advising a dentist during an investigation by the General Dental Council into alleged illegal practice at their clinic, as to the powers of the GDC to seek information and the extent of the duty to comply with the investigation

Financial services

Representing an accountant (member of the Institute of Chartered Accountants in England and Wales (ICAEW)) in a compulsory interview by the Financial Reporting Council (FRC)

Representing an employee of a high profile lending company in a compelled interview by the Financial Conduct Authority (FCA)

Representing an audit firm and its audit partner in proceedings brought by the Admissions and Licensing Committee of the ACCA

Professional and legal services

Advising a company of loss adjusters on the powers of the Information Commissioner’s Office (ICO) to seek disclosure during an investigation of its directors for the alleged commission of offences under the Data Protection Act 1998


Advice to premium rate telephone companies on investigations by the industry regulator, PhonePayPlus   


Clients praise Kingsley Napley LLP for the ‘understanding and expertise' of its lawyers, and for the ‘strong and consistent management of the team.

Legal 500 UK 2014

...'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,  2014

Praise rolls in from all fronts for this team, with sources quick to commend it for "listening and responding, turning cases around quickly" and "providing excellent value for money.

Chambers UK, A Client's Guide to the UK Legal Profession,  2012

Regulatory Enforcement Action: Inspections, Investigations and Interviews Comment

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Dishonesty versus a want of integrity rears its head again

The Performer's List – additional obligations for NHS GPs

Manifesto watch: Health and social care regulation

A ‘deep-seated attitudinal problem’ could be the difference between a suspension and a strike-off

Solicitors acting as McKenzie Friends and unbundling legal services – a cautionary tale

Let's fast-track solicitor discipline

Publishing of adverse findings can be a sufficiently serious sanction

The results are in: revalidation is working and is here to stay

Should GPs have to disclose previous convictions to patients?

The importance of staying within your field of expertise and having a properly constituted Panel

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

‘Dogged and obstinate’ BACP prevented from proceeding to adjudicate on a complaint already disposed of by the UKCP

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

Good communication is as important as a doctor's clinical skills

What regulators regard as dishonest – more than you would think!

Case Update: High Court remits case back to the General Dental Council’s Professional Conduct Committee to reconsider whether the erasure sanction imposed was proportionate

Press Round-Up: Regulatory and Professional Discipline. June 2016 – July 2016

Court affirms General Pharmaceutical Council’s approach to assessing insight

Cautionary tale to regulated professionals to ensure they adequately supervise the tasks of others

To tweet or not to tweet …?

Case update: Employment Appeal Tribunal comments on the resolution of patient complaints and working whilst suspended.

Case update: Nurse’s appeal against strike off dismissed by the High Court despite highlighting the impact on his personal circumstances

Case update: Doctor successfully applies to quash a decision of the Assistant Registrar of the General Medical Council (GMC) to review a decision made by the Investigating Committee not to impose a warning

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

Talking therapists - what does the Statement of Intent mean for practitioners?

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

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

The correct approach to the GMC considering complaints over 5 years’ old

The PSA - radically "Rethinking Regulation"

Case Update: Barrister’s appeal against dishonesty finding dismissed after barrister drafted false Grounds of Appeal

Case Update: High Court hold that panel of the NMC were unduly lenient in imposing 4 month suspension for dishonest nurse

Case Update: Findings of dishonesty where dishonesty is not pleaded

Press Round-Up: Regulatory and Professional Discipline - April - May 2015

Case Update: Fitness to Practice panel's failure to find dishonest doctor impaired was not unduly lenient, holds the High Court

Case Update: Clarity urgently required on the test for dishonesty in regulatory proceedings as Administrative Court unable to rule on the issue

Case Update: High Court considers the power of a regulator to refer back to its Investigating Committee fresh allegations arising from the same facts as allegations already considered and referred by that Committee

Case Update: High Court reminds Fitness to Practice Committees of their duty to provide sufficient reasons

The duty to explain risks to patients: a new exposition on consent from the Supreme Court

Case Update: GMC appeal - Is dishonesty less serious if the motive and/or gain is not immediately apparent?

Case Update: Panel proceeds in the absence of the practitioner, and errs in its findings on dishonesty

More faith in doctors and the General Medical Council needed

Case Update: Appeal on the basis that counsel was so incompetent that the hearing was unjust

Case Update: Court Of Appeal orders rehearing following non disclosure of witness statement by the BSB

Case Update: NMC’s failure to draft charges that sufficiently reflect the gravity of Registrant’s conduct led to serious procedural irregularity

Case Update: High Court upholds decision of Secretary of State to impose a prohibition order against a teacher

Bullying and undermining are too common in medical training, according to the General Medical Council

Case Update: High Court considers how to strike the appropriate balance between a registrant’s right to privacy as against the public interest in the regulator having access to relevant material

Close the loophole on therapists and counsellors

Case update: Odoi-Asara v Nursing and Midwifery Council [2014] EWHC 1151

Case Update: Choudhury v Solicitors Regulatory Authority

Case Update: The Queen on Application of Olafare v Nursing and Midwifery Council [2014] EWHC 767 (Admin)

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