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Home Police and Courts: Regulatory & Disciplinary Affairs

Regulatory Solicitors in London

Many professions have witnessed a tidal wave of changes in their regulatory regimes over the past few years. Members of the general public are becoming increasingly aware of their rights and as such more stringent measures are being introduced across diverse professions to uphold and retain their reputation. Whilst some professions are more heavily regulated than others, the issue of stricter regulatory regimes and tougher disciplinary measures apply across the spectrum. Regulatory bodies have the right and the power to conduct monitoring visits, enquiries and or investigations into the affairs of their members. This is even more important where reports may have been submitted in relation to a particular member and alleged malpractices.

Where such visits are conducted and evidence of non compliance found, depending on the severity of the non-compliance, criminal proceedings may be launched against the company and its directors thereafter. All it takes is a complaint from a disgruntled employee or former employee, an unhappy client or customer for an enquiry to be launched into an individual or a firm’s affairs. Although the allegations may be found to be unfounded in most cases, the fact that you become the focus of the regulatory body opens you up to risks. Particularly under the present and recent of anti-bribery and corruption legislations, erring abundantly on the side of caution is highly recommended.

INTERNAL AUDIT

London’s most prominent criminal defence law network provide an audit service to our clients where we conduct a visit or series of visits s your needs might be, for the purpose of going through your policies, procedures, and level of compliance with the rules and ethics of your particular profession. It is a very through audit which picks up on issues that need immediate attention as well as those identified and labelled as not so urgent. Some of our clients have received a clean bill of health to their relief following our visits and audit but many others have been given recommendations on how best to ensure that they are fully compliant with their regulatory bodies’ requirements.

Regulatory SolicitorsDISCIPLINARY TRIBUNAL SOLICITORS

Even where you are already under investigation and the concept of conducting a visit to go through your operations is no longer viable, our London criminal law firm will nonetheless be able to provide you with the tailor made service for which our solicitors are renowned.  The anxiety that comes with being investigated or facing disciplinary action and/or criminal charges can be very daunting indeed. It is therefore vital that you immediately seek sound legal advice at this difficult time. Where matters have progressed past the investigating stage and you are already in receipt of a letter from your regulatory body informing you of a visit and/or enquiry, you would be better off with sound and pertinent advice from criminal defence lawyers prior to the visit.

Our tribunal lawyers always advise our clients that the best line of action and perhaps the most important thing they can do is to give us a ring as soon as possible. It is not impossible that we can still arrest the speed at which things appear to be spinning and enter into negotiations with the regulators on your behalf. After carefully considering the situation and the possible implications for you and you business, we will be able to advice you about the best course of action; either to vigorously challenge the allegations where we believe this would be the most sensible and safest thing to do or to admit them and confirm that measures are already being put in place to ensure stricter compliance going forward. In our experience, the latter course of action is usually very effective in damage limitation and exhibits to your regulator that you are taking a step in the right direction. A resolution is likely to be reached and a fine levied. We will, in any event, pursue every possible avenue that will drastically reduce the need for a full disciplinary hearing and the rather severe penalties that come with it.

 

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