Regulatory, Professional Disciplinary & Directors' Disqualifications

For a professional, a regulatory investigation, with the risk that this might lead to disciplinary proceedings, can cause irreparable damage to a person’s reputation and livelihood.  While the range of sanctions will depend on the particular regulator, they can include financial penalty, a period of suspension from practice or, in a worse case scenario, prohibition from practice.  It is, therefore, vital that expert legal advice is sought at the earliest opportunity as the possibility of achieving a favourable outcome may well depend on the approach taken at the outset, particularly where cooperation towards an agreed outcome may represent the best resolution of the matter.  However, as regulatory investigation may well impact on a person’s employment status, and (depending on the subject-matter) may be a precursor to potential criminal investigation, it is crucial that the strategy which is adopted does not cause prejudice in any associated matter.

In addition to our work in relation to investigations conducted by the FSA and the HSE, BCL has substantial experience in advising individuals and organisations involved in investigations and proceedings brought by the following regulatory authorities (our involvement is generally on behalf of those who find themselves the subject of the investigation, but we also represent those who are treated as witnesses):