Regulatory Offences

Regulatory compliance is a primary consideration for a broad range of businesses and professionals and the risks of falling into breach can have serious consequences .

We support clients who face investigations and prosecutions by regulators, as well as providing an advisory service to ensure that full due diligence is carried out to avoid any non-compliance action.

This complex area of law covers a host of regulatory obligations.

We routinely act for property managers who receive enquiries from local councils and London boroughs in relation to House in Multiple Occupation (HMO) licences as well as Enforcement Notice appeals and breaches.

The Food Standards Agency (FSA) and the Health and Safety Executive (HSE) are increasingly turning to regulatory enforcement and we have frequently acted for businesses dealing with matters relating to Food Hygiene Regulations and Health and Safety Regulations.

In the financial sphere, we act for directors and senior executives under scrutiny from the Financial Conduct Authority (FCA), in terms of resisting investigations and challenging prohibition orders. Taking a multi-disciplinary approach, we aim to negotiate with the authority to achieve settlement or adopt a civil penalty if appropriate.

Professional conduct allegations can be profoundly damaging and distressing to those concerned and we bring extensive experience in defending individuals in this area. We ensure our clients’ reputations are best protected and can assist in matters concerning the General Medical Council (GMC), the General Dental Council (GDC), the Nursing and Midwifery Council (NMC), the Solicitors Disciplinary Tribunal (SDT) and the Bar Standards Board (BSB).