Professional Discipline & Regulatory

An ASIC investigation may involve overseas companies and where a company in the UK is involved, legal advice from a lawyer qualified in England & Wales is essential. Our regulatory team have defended against ASIC’s investigations and also assisted the coordination of investigations. As such, our lawyers can guide you through the entire process.

A review or investigation into your practice by the CQC can be a daunting prospect. Our healthcare regulation team support and advise health and social care professionals and practices being investigated by the regulator, prepare for inspections and respond adequately to any queries.

Has your company been accused of anti-competitive practices or market manipulation? If you are facing an investigation by the CMA, it is imperative that you have regulatory expertise that you can rely on to guide you through the process. Our competition regulation experts can advise you on all stages of an investigation or review by the regulator.

Financial services firms are closely regulated by the FCA, now more than ever, and may be subject to reviews or investigations should they fail to meet the regulator’s standards. If you or your firm is facing an investigation, you will require legal representation by an expert in this area. Our team of financial regulation lawyers can assist you throughout the process and ensure you adhere to the guidelines set out by the regulatory body.

Being subject to an investigation or disciplinary proceeding before the FRC requires robust legal representation. Whether you are a practising or non-practising member of chartered accounting institutes including the ICAEW, CIMA or ACCA, our regulatory lawyers are on hand to diligently guide you through the process and assist you with any issues that may arise.

On receipt of a letter by the GCC regarding a complaint, you will require astute legal advice to advise on how to respond to a complaint and to support you should you be required to go before a Council committee. As experts in healthcare regulation, our lawyers will guide you through each step of the process.

Should concerns be raised about your dental practice, health or behaviour, you may need to contact a lawyer for advice. Our healthcare regulation specialists understand that this can be a long and distressing process and will assist you throughout the investigation in a professional and sensitive manner.

Our team of healthcare regulatory experts are frequently instructed by doctors to defend them in investigations and proceedings brought before the GMC. As experts in their field, our lawyers provide support and advice from the time that the initial investigation is launched right through to disciplinary hearings.

If a complaint has been raised about you as a pharmacist or pharmacy professional and your conduct or fitness to practise has been called into question by the GPhC, our team of experienced healthcare regulatory lawyers can assist you throughout the investigation and provide comprehensive legal advice whether you are facing interim suspension applications, substantive proceedings and appeals.

If you are a professional registered with the HCPC and are subject to an investigation by the regulator, you will require specialised legal advice. Our healthcare regulation lawyers can advise you on fitness to practise hearings, disciplinary proceedings and ongoing investigations to ensure you receive robust legal advice and support.

As a nurse or midwife, you will be subject to the requirements set out in the Code which signify what good nursing and midwifery practice looks like. Should your conduct be called into question, our team of healthcare regulation lawyers will advise and support you on how to respond to any claims and/or investigations.

Banks, building societies, credit unions, insurers and major investment firms are closely reviewed and scrutinised by the PRA. If you find yourself subject to a review or investigation, you will need legal representation. Our regulatory lawyers are instructed by financial services institutions to provide clear and straightforward advice, whether it be when the initial investigation begins or at the disciplinary committee hearing.

Should you find yourself needing legal advice before an investigation, disciplinary proceeding or hearing before the RICS, our regulatory specialists will guide and support you throughout every stage and ensure that you are prepared through the process.

Where a SEC investigation spans across multiple jurisdictions, including the UK, you will need the legal advice of an England & Wales qualified lawyer. Our experienced regulatory team are often entrusted by clients to advise on global investigations.

If you or your firm have been accused of breaching the Codes of Conduct, Principles, Account Rules or other practising requirements, the SRA may investigate the alleged misconduct. Our regulatory experts represent solicitors and law firms at all stages of a SRA investigation or prosecution, including appeals against decisions made at the Solicitors Disciplinary Tribunal.

Are you a teacher facing an allegation of misconduct? We understand how distressing allegations can be on your professional and private life. As experts in regulatory law, our team of education specialists will provide you with the advice, support, and guidance required, whether it be when the initial complaint has been received or if the matter has been taken to a professional conduct hearing.

We understand that charities are subject to a vast range of regulatory requirements and are expert team will guide your charity through each stage of a regulatory review or investigation.

Whether you are a employers, trustees, pension specialists or business advisers, you must comply with your obligations under TPR. If you find yourself needing regulatory support, our team of experts can advise you on the best next steps to take in the process.

• Assisted in coordinating the ASIC investigation into the collapse of the financial planning firm Storm Financial Limited, including by conducting examinations and identifying viable causes of action implicating the banks associated with Storm.
• Represented an international financial institution in connection with ASIC’s investigation into short-selling issues by that institution.
• Representing a management consultancy and its employees in their roles as third-party witnesses to ASIC’s investigation into the execution of a remediation programme that one of Australia’s four major banks had carried out.

• Represented one of the UK’s Top 50 providers of residential homes and hospitals for individuals with learning disabilities, mental health issues, behaviours that challenge and autism in CQC, HIW and NMC investigations – all resulting in no action against the provider or its staff.
• Successfully challenged CQC Notices of Proposal and Notices of Decision for residential and nursing home providers across England, including many successful First-tier Tribunal appeals quashing CQC Notices of Decision to cancel registration. Instructed by both owners and third parties including restructuring and insolvency practitioners.
• Successfully challenged CQC ratings and factually inaccurate draft Inspection Reports, including securing the reversal of a ‘requires improvement’ rating to an overall ‘good’ rating.
• Advised and represented provider clients in relation to a high-profile CQC prosecution.
• Successfully secured the withdrawal of CQC from two First-tier Tribunal appeals made by two registered adult social care providers, preventing the closure of the care establishments.
• Advised UK and international clients on whether their provision falls within the requirements for CQC registration.
• Advised a healthcare app provider on CQC registration.

• Advised on CMA investigation into EU online pricing agreements.
• Successfully defended a CMA investigation into UK online pricing arrangements in the NHS.
• Successfully defended a CMA investigation into UK online pricing arrangements in the rental agency market.
• Acted in relation to the CMA investigation into pricing practices in the groceries market.

• Advised several corporate clients on investigations by the FCA in relation to product transfers and potential breaches of regulations.
• Obtained a variation of permission from the FCA for a financial institution to undertake consumer lending.
• Advised multiple fintech and financial service provider start-ups on the FCA compliance status of their MVP / proposed financial products and assisted in structuring the business so that it complied with the appropriate international financial regulator.
• Assisted the trader of a major Swiss bank in relation to a FCA foreign-exchange price-fixing investigation.
• Advised a senior trader in an investment bank in relation to FSA (now FCA) allegations of insider trading.
• Acted for a global bank advising on the regulatory investigations by the DOJ and other regulators in multiple jurisdictions into the manipulation of Foreign Exchange (FOREX) markets.
• Acted for numerous employees involved in LIBOR and FX trading scandals. In addition to the employment law implications, this also involved regulatory (FCA and PRA) and criminal law issues.
• Acted for a senior whistleblower in a high-profile whistleblowing matter about FCA regulatory breaches involving one of the largest UK financial institutions.
• Acted for a bank executive in FCA, DoJ and CFTC investigation.
• Advised on the application of the UK Financial Services and Markets Act 2000, the FCA Rules and EU single market legislation such as MiFID, MiFID II and EMIR.
• Assisted the FCA to investigate the conduct and prudential supervision of one of the UK’s largest retail banks.
• Acted for FCA-regulated high-profile individuals where there are allegations of “non-financial misconduct” which could result in reports to the FCA. In all cases, the result was entirely successful as the employer did not make a report to the FCA.
• Acted for numerous employees at banks regulated by the FCA.
• Acted on behalf of a regulated entity against the FCA and Regulatory Decisions Committee in respect of disciplinary/investigation and successfully judicially reviewed the FCA and prevented the issuing of a Decision Notice.
• Advised start-ups and other regulated and non-regulated businesses launching new services on whether their activities fell within the scope of financial and anti-money laundering regulation (including cryptoasset exchange and custodian wallet services).
• Advised regulated payment service providers on compliance with regulatory requirements, including structuring new services appropriately (e.g. prepaid card programmes), the content/drafting of ‘framework’ and single transaction services contracts, ‘reverse-solicitation’ issues when dealing with ‘foreign customers’ (including non-UK firms dealing with UK residents), safeguarding issues, compliance with EBA outsourcing guidelines, orderly wind-down, administration and transfer of inactive and dormant accounts, the transfer of prepaid card and other e-money programmes.
• Advised multiple peer-to-peer lending platforms, including those offering commercial property lending, regulated personal loans, High-Cost Short-Term Credit and Sharia-compliant conditional sale programmes.
• Advised several authorised consumer credit and consumer hire firms on appropriate form of agreements, including drafting multiple sets of regulated, exempt and unregulated hire agreements and credit agreements (including conditional sale and hire purchase), including Fixed Sum, High-Cost Short-Term Credit, and Buy Now Pay Later.
• Secured the discontinuance of an FCA investigation of an individual accused of market abuse.
• Persuaded the FCA to discontinue FCA investigations into a director of a firm accused of investment mis-selling.
• Representation before the FCA’s Regulatory Decisions Committee of an individual accused of dishonesty.
• Secured the discontinuance of investigation by the FCA of a compliance officer/director accused of insufficient business controls.
• Advised an individual bank employee accused of recklessness leading to the ultimate dismissal of accusations by the Upper Tribunal.
• Represented an individual before the Upper Tribunal accused of pensions mis-selling.
• Advised an individual in relation to an investigation in support of an overseas regulator, persuading the FCA that it had no jurisdiction to pursue.
• Advised a client on the approach by the FCA seeking to withdraw its regulatory authorisation.
• Advised and represented clients in relation to Financial Ombudsman Service claims relating to sale of minibonds and pension mis-selling.
• Advised on change-of-control issues for a wide range of clients, including a major European bank.
• Supported clients in obtaining authorisation or upgrade of permissions including a client with an innovative peer-to-peer lending project involving consumer lending to local authorities for sustainable energy projects.
• Advice to overseas clients on what can or cannot be done into the UK from overseas, including a US securities and futures firm, a European fund distributor, and an offshore client relating to FCA regulation of pensions business in the UK transacted from offshore.
• Ongoing advice to a European bank on consumer credit and FCA Rules in relation to a niche regulated yacht lending business.
• Drafted regulatory terms and conditions for an authorised business including funeral plan providers having recently become regulated.
• Advice on regulatory documentation, including appointed representative agreements.
• Advice on regulatory requirements and content for REIT prospectuses.
• Advice to banks and others on capital requirements.
• Ongoing advice for numerous clients on application of FCA and PRA Rules, including the Consumer Duty.
• Advice to banks and others on money laundering requirements.

• Represented key individuals in relation to high-profile FRC investigations into events related to or arising from audit work undertaken for Carillion and BHS
• Defended a claim brought against the auditor of a high-profile law firm that collapsed with a considerable indebtedness. The case raised novel issues of causation and quantum of loss. Having been robustly defended in the early stages, formal proceedings were not pursued by the liquidators. The claim is now statute-barred.

• Successfully conducted fitness to practise investigations on behalf of the GCC, involving complex clinical conduct, deficient professional performance, health, fraud, and dishonesty issues.
• Successfully conducted fitness to practise investigations on behalf of the GCC from Investigating Committee through to Professional Conduct Committee stage, including cases involving complex clinical conduct, inappropriate conduct, dishonesty, sexually motivated behaviour and dishonesty.
• Provided training to Investigating Committee Panellists in relation to dishonesty and integrity and the application of the GCC’s Fitness to Practise Rules.

• Successfully conducted fitness to practise investigations on behalf of the GDC involving complex clinical conduct, deficient professional performance, health, fraud, and dishonesty issues.
• Prepared reports on fitness to practise function for Chair and Chief Executive at the GDC
• Interviewed and recruited case examiners along with providing training for case examiners and competency assessors at the GDC.
• Trained fitness to practise panellists at the GDC.
• Successfully conducted fitness to practise investigations and progressed cases to the Professional Conduct Committee on behalf of the GDC, including complex clinical cases, as well as cases involving sexual misconduct, deficient professional performance, health, fraud and dishonesty.
• Successfully represented dentists at Rule 4 of the GDC process.
• Appeared as advocated before the Interim Orders Committee and Health Committee.
• Supported the Case Management team as part of a fixed term secondment to the GDC.
• Represented an orthodontist in the GDC in a matter concerning lack of run-off cover/appropriate indemnity post-retirement as a dentist, alleged lack of informed consent, failure to diagnose periodontal disease, and inappropriate treatment with a fixed appliance.

• Successfully defended a Consultant Orthopaedic Surgeon and NHS Medical Director in MHPS proceedings and then before the GMC in connection with multiple allegations of misconduct and deficient professional performance arising from undertaking private work whilst second on call.
• Successfully conducted a Medical Act section 40 High Court appeal against the GMC, overturning a finding that the doctor (a Consultant Anaesthetist) was culpable for his actions whilst suffering from an episode of psychosis caused by an adverse reaction to prescribed medication.
• Acted for doctors in specialisms including Psychiatry, Trauma & Orthopaedic Surgery and Cardiothoracic Surgery to overturn the GMC’s refusal of their applications for specialist registration/CESR.
• Prepared persuasive Rule 7 submissions on a matter that involved allegations of sexual misconduct by a spinal surgeon, which resulted in the GMC closing the case at the Rule 8 stage despite conflicting factual accounts.
• Advised on a wide range of topics and audited complex cases within the GMC whilst acting as the Principal Legal Advisor.
• Assisted on the successful defence of a GP before a Medical Practitioners Tribunal in a 10-day listed case of alleged digital and metal speculum instrument intimate (vaginal) examination, with every allegation not proven, no misconduct found and the GP’s fitness to practise found not to be impaired.
• Prepared a Rule 28 application that resulted in all charges being withdrawn against a plastic surgeon shortly before the commencement of a fitness to practise hearing before a Medical Practitioners Tribunal Hearing.
• Successfully represented a consultant orthopaedic surgeon in a GMC Fitness to Practise investigation concerning pioneering double-plane osteotomy knee surgery and coding for health insurance.
• Represented a doctor specialising in sports medicine and orthobiologics in the GMC in a matter concerning use of off-label drugs, alleged failure to diagnose high-grade shoulder injury, consent, and record keeping.

• Successfully conducted fitness to practise investigations on behalf of GPhC involving complex clinical conduct, deficient professional performance, health, fraud, and dishonesty issues.
• Successfully conducted fitness to practise investigations on behalf of the GPhC.

• Successfully conducted Front Loading investigations on behalf of the HCPC.
• Successfully acted for paramedics before the Investigating Committee and Conduct and Competence Committee Panels of the HCPC.
• Defended a Radiographer before the HCPC in connection with lack of competence allegations regarding 146 patients – no impairment found.
• Represented an interested party in the HPC in a matter concerning whistleblowing and alleged bullying.

• Represented one of the UK’s top 50 providers of residential homes and hospitals for individuals with learning disabilities, mental health issues, behaviours that challenge, and autism in NMC investigations.
• Carried out investigations on behalf of the NMC including obtaining witness evidence and the provision of advice to the Case Examiners on prospects / outcome.
• Successfully defended a registered nurse in criminal proceedings who was charged with the wilful neglect of a care home resident with dementia. Also instructed to represent the nurse’s interests in the regulatory investigation by the NMC and in relation to the subsequent inquest.
• Advised on defective decision making within the NMC and referrals back to committees.
• Advised on how to efficiently progress a large backlog of cases within the NMC.

• Advised a financial institution on its Tier 1 capital holding requirements and provided regulatory opinions to the PRA
• Acted for numerous employees involved in LIBOR and FX trading scandals. In addition to the employment law implications, this also involved regulatory (FCA and PRA) and criminal law issues
• Acted for a US-based insurance company in respect of its PRA authorisation and the conversion of its third-country branch to a newly established UK subsidiary
• Acted for the PRA in the Hong Kong branch domestication and related UK court application of a UK life insurance company
• Ongoing advice for numerous clients on application of FCA and PRA Rules, including the Consumer Duty

• Acted for clients in front of the RICS disciplinary tribunal
• Acted in proceedings to remove an RICS appointed Arbitrator due to a conflict of interest
• Challenging a valuer’s/surveyor’s arbitration award or expert’s determination
• Acting for and against surveyors/valuers regarding alleged valuation negligence
• Acting for and against surveyors/valuers concerning terms of business and fee entitlement
• Acting for and against surveyors/valuers concerning complaints handling including through the RICS procedures
• Acting for surveyors/valuers concerning health and safely property management prosecutions/investigations
• Acting for surveyors/valuers concerning prosecutions and investigations relating to property letting/management and estate agency including licensing
• Acting for and against surveyors concerning disputes relating to construction advice, reports, or costings

• Defended SEC investigations into alleged anti-trust violations involving the international shipping company Stolt-Nielsen Limited
• Defended Siemens AG in SEC and DOJ proceedings involving alleged violations of the Foreign Corrupt Practices Act

• Advised on a wide range of matters for the SRA whilst acting as the Interim Director of Investigation and Supervision, and casework consultant.
• Represented a partner in a US law firm on regulatory aspects of ‘MeToo’ allegations.
• Acted for a partner in a silver circle firm in respect of an SRA investigation
• Acted for equity partner in prominent law firm in respect of potential SRA investigation. Entirely successful result in that the SRA decided to cease investigation and took no further action
• Acting for a partner in a law firm accused of serious sexual assault being investigated by another law firm. He was reported to the SRA
• Acting for an Equity Partner in a law firm accused of sexual harassment who was reported to the SRA
• Advised on SRA regulatory and compliance aspects of proposed private equity investment in law firms
• Acting for senior partners in respect of potential SRA investigations
• Acting on behalf of the SRA in respect of various interventions into solicitor’s firms.

• Defended teachers from a number of the UK’s leading public schools in NCTL and Teaching Regulation Agency proceedings arising from allegations ranging from exam cheating to alcohol misuse to failure to maintain appropriate professional boundaries. 100% record of success in avoiding the imposition of a Prohibition Order and/or Interim Prohibition Order
• Acted for a Group of Schools where a Head of Campus was reported to The Teaching Regulation Agency.
• Successfully defended an award-winning multi academy CEO against safeguarding allegations, including a successful (and rare) appeal by way of judicial review against a case management decision of the regulator (adopted by the Secretary of State for Education)

• Acted for two charities involved in one of the largest ever Charity Commission and HMRC investigations and negotiating a successful outcome
• Successfully represented Cambridge Islamic College in a £5m tribunal appeal against the Charity Commission, which challenged the body’s power to direct a change of name

• Acted for the trustee of a commercial pensions master trusts in obtaining and maintaining authorised status
• Advised a pension trustee board on the successful consolidation of its commercial master trust with Pensions Regulator approval
• Counsel to various pension trustee boards and sponsoring employers on compliance with regulatory administrative and reporting requirements
• Negotiated on behalf of trustee and sponsoring employers during pension scheme funding reviews overseen by the Pensions Regulator