Professional Disciplinary & Regulatory Law Solicitors

Do you work in a profession affected by regulatory law? At Clifford Johnston & Co, our Regulatory Lawyers can assist you in protecting and representing you and your business affairs, supporting you throughout regulatory investigations. We can expertly guide you through the legal process, defending you against allegations and using our knowledge and experience to help determine the best possible outcome for your case.

If you’re facing regulatory investigation, we know you’ll be concerned about how it might affect your reputation and livelihood. Managing regulatory issues or professional discipline proceedings can be overwhelming, with potentially serious consequences. At Clifford Johnston & Co, our Regulatory Law Solicitors understand the complexities you face. We have a proven track record of success representing professionals across various sectors, including private, public and third sectors.

The regulatory environment is ever-evolving. Our well-established law firm, led by the highly respected Criminal Defence Lawyer Jared McNally, is dedicated to helping you navigate the optimal path through the situation you are facing. We are meticulous in our approach and committed to protecting your reputation and livelihood, no matter the issue.

Our comprehensive regulatory advice covers a wide range of matters, including:

• Regulatory investigations: Our solicitors will assist you throughout every step of the investigation, building a robust defence strategy while ensuring your rights are protected.
• Professional discipline proceedings: We will represent you during disciplinary hearings, striving for the best possible outcome while mitigating potential sanctions.
• Compliance advice: Our lawyers provide proactive guidance to help you remain compliant with industry regulations, minimising the risk of future investigations.

We understand the stress and anxiety that come with regulatory issues. Our commitment is to work closely with you throughout your investigation, offering exceptional service and clear, concise legal advice at every stage. At Clifford Johnston & Co, we aim to make the process as smooth and manageable as possible, ensuring you receive the highest standard of legal representation.

Who do Regulatory Lawyers help?

Our Regulatory Lawyers can assist with a whole range of matters relating to numerous regulatory authorities. We provide assistance and advice with the following bodies:

• General Optical Council
• Architects Regulation Board
• Social Work England
• Health & Care Professions Council
• General Dentist Council
• General Medical Council
• Teaching Regulation Agency
• Nursing and Midwifery Council

Our professional regulation lawyers have represented and advised a number of professionals, including doctors, dentists, nurses, midwives, care assistants, solicitors, teachers and prison officers.

What is a regulatory investigation?

Many professions, such as solicitors, doctors, dentists, nurses, midwives and teachers, are regulated by an official regulatory body. These bodies can investigate individuals for breaches of regulations, legislation and professional discipline. Such proceedings may have significant consequences, including preventing individuals from continuing to work in their chosen profession.

It is vital that you receive advice as soon as you are notified that an issue or complaint has arisen. The complaint may relate to fitness to practise, professional misconduct or a criminal conviction. We can advise you throughout the process. Often, receiving advice at an early stage can mean that matters are resolved more quickly and with a better outcome.

What should I do if I’m put under regulatory investigation?

You should immediately contact a Regulatory Lawyer if you receive a letter informing you that you or your organisation is under investigation for a regulatory breach. A legal representative can establish the letter’s context and how severe the breach might be whilst ensuring you have all relevant evidence to hand and are fully prepared for any questions.

If you are missing vital evidence and find yourself unprepared when undergoing questioning, this could negatively impact your case moving forward. Timely advice could stop your case from progressing altogether, saving you valuable time and money, as well as the stress of further investigation.

What happens in a regulatory investigation?

Often, the first stage of a regulatory investigation will be an interview under caution, whereby a regulatory body will interview offenders they suspect have made some form of breach within their organisation.

These types of interviews are strictly regulated by the Police and Criminal Evidence Act 1984 and determine how these interviews take place, your rights during the interview and the handling of your statement. Though you have the right to remain silent during an interview under caution, doing so could put you at a disadvantage. It is crucial to seek expert legal advice promptly if the police or a regulatory authority invites you to an interview.

The investigation may conclude following the interview. However, the police or authority leading the investigation might follow up on your statement or even consider charging you for a regulatory offence. If the investigation continues, the authority, most commonly the police, will begin collecting evidence relating to the alleged offence, including any safety policies, financial statements or digital data, that could be used in a court of law.

What can trigger a regulatory investigation?

Specific events that may prompt an investigation differ across industries or sectors. However, several common factors that could lead to a regulatory body investigation include:

• If a regulatory body receives a report or complaint from an individual, consumer, competitor or other stakeholder regarding potential misconduct or violation, it may launch an investigation to explore the claim’s legitimacy.
• Some regulatory bodies take a risk-based approach and focus their resources on entities with a higher likelihood of non-compliance or where welfare/public safety risks are more common. If a regulatory body is already conducting ongoing monitoring and surveillance of an industry, it may identify a potential issue or risk that does not comply with standards and regulations.
• An individual within an organisation may witness wrongdoing and report it to the regulatory body, prompting an investigation. In this event, whistleblower protections typically protect the witness from retaliation.
• Scheduled or unannounced routine audits/inspections conducted by regulatory bodies may expose that an organisation is not operating according to established standards and regulations.
• Should emerging issues or events that could impact the industry occur, i.e. changes in business practices, market developments or new technologies, regulatory bodies may have to investigate to ensure regulations are still being followed.
• Media reports, especially those suggesting public harm or regulatory violations, may cause regulatory bodies to investigate and take further action.

UK regulatory bodies operate within the legal framework determined by their specific domain. Their actions are guided by protecting the public interest and ensuring compliance with established regulations. That said, it is crucial to understand that the triggers for investigations can vary according to the regulatory framework of each industry. Understanding these factors can enable you to anticipate and mitigate potential issues.

How can Clifford Johnston’s Regulatory Lawyers help?

Our regulatory solicitors approach each case with the same high standards. We can submit representations on your behalf, prepare robust defences, liaise with third parties, instruct experts and provide expert advocacy where needed.

We understand that proceedings of this nature, with your professional registration, reputation and personal life in jeopardy, are distressing. We will work tirelessly to secure the best possible outcome.

We also understand the significance of a criminal caution or conviction for professionals, and our extensive knowledge of criminal law and regulatory procedure enables us to provide expertly tailored advice.

A regulatory investigation may be linked to proceedings before the Coroner’s Court in serious cases. With our experience with Inquests, we are uniquely positioned to offer you advice that will anticipate all the issues that may arise.

Jared McNally is the Partner dealing with regulatory and professional discipline. He has a wealth of experience in this area and is instructed by clients across the UK; he has a well-earned reputation for his detailed preparation and tactically astute advice, and he offers a first-class service to all his clients. He has excellent contacts amongst leading barristers in this field and is very well respected in the legal community.

Contact our Regulatory Lawyers today

If you are facing a regulatory investigation or professional disciplinary action, you can rely on us to defend your position and limit any damage to you or your organisation. We have many years of experience dealing with different regulators and their strategies during investigations, which we can use to your advantage in search of the right outcome.

Our specialist regulatory law solicitors will assist you throughout the process, providing clear, concise advice every step of the way.

We are proud of the regulatory law and professional discipline legal services we provide and the positive difference we make for our clients. Our experienced Stockport and Manchester solicitors are experts in their fields.

To speak to a member of our team in confidence, call the number at the top of this page or leave your details through the contact form, and we’ll call you back.