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If you or your business is faced with an investigation or prosecution by a regulator, it can be a worrying and stressful time. It's essential that you get the best advice and legal representation as soon as possible, to help you to either avoid escalation of potential conflict, or to navigate through proceedings.
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professional regulationan introduction
2
Professional RegulationA changing landscapeMost professions and industries are regulated byprofessional standards boards and codes ofconduct these days.
Professional regulation is an area that has beenchanging rapidly in recent years and theconstantly evolving law surrounding it isbecoming ever more demanding andsophisticated.
This complexity is compounded by a significantincrease in complaints, with regulatory bodiesincreasingly willing to bring actions againstindividual members of their professions andindustries, in matters relating to both conductand fitness to practice.
What this means for youIf you or your business is faced with aninvestigation or prosecution by a regulator, it canbe a worrying and stressful time. It's essentialthat you get the best advice and legalrepresentation as soon as possible, to help you toeither avoid escalation of potential conflict, or tonavigate through proceedings.
We are here to assist you from the outset,providing pragmatic, comprehensive legalsupport throughout the whole process.
Dan Hyde is described “as a lawyerof the highest calibre” and JoelLeigh as “an intuitive solicitor.”
Legal 500
Clients describe Ian Ryan as“a brilliant fount of legal
knowledge and an excellentcommunicator.”
Chambers UK 2015
3
How can we help you?We advise businesses and individuals on all aspects ofprofessional regulation, disciplinary investigation andproceedings - both civil and criminal. We have wideexperience advising a variety of corporate entities, banks,hedge funds, independent financial advisors, investmentcompanies, payment services firms and individuals regardingtheir regulatory responsibilities, on both contentious and non-contentious matters.
We can help you to avoid potential conflict escalating,wherever possible. But where this cannot be avoided, we canadvise you how to deal with any action being taken againstyou, under either the civil or criminal law.
Our team has extensive experience in handling the mostcomplex matters. The breadth and depth of the work whichwe undertake allows us to offer a one-stop solution to ourclients, avoiding the need to retain separate firms to handledifferent aspects of the matter, and thus minimising damage,delay and disruption to your business and reputation.
We can assist you in several ways, including:
● Dealing with professional regulators and otherenforcement agencies
● Responding to complaints and enquiries from yourregulator
● Negotiating on your behalf and providing all the necessarysupport during any investigations, including attendinginterviews with you
● Drafting written submissions on regulatory decisions
● Challenging notices served by your regulator
● Defending you through any regulatory prosecution
● Representing you before various tribunals including:
- Financial Conduct Authority
- Bar Standards Board, including the Bar Tribunals andAdjudication Service, appeals to the High Court andcomplaints to the Legal Ombudsman
- Solicitors Regulation Authority/Solicitors DisciplinaryTribunal/and appeals to the Administrative Court
- Council of Licensed Conveyancers
- General Medical Council
- Food safety, hygiene, measures and environmentalnuisance related investigations and prosecutionsbrought by Local Authorities (Environmental Healthand Trading Standards Officers) and the FoodStandards Agency
- Inquiries and Statutory Reviews into secondary ticketsales and licensing undertaken by the Competition &Markets Authority
- Proceedings in both the Magistrates and CrownCourt arising from prosecutions brought by TradingStandards
- General Chiropractic Council
- Care Quality Commission
● Providing advocacy and assisting with the preparation andpresentation of an appeal
● Certain decisions made by professional regulators do notallow for a right of appeal. In these circumstances we canprepare and bring a claim for Judicial Review on yourbehalf.
Throughout the process, we will help you to get on with yourlife and your business whilst matters proceed.
Professional Regulation Team
No.1 London BridgeLondon SE1 9BGDX 144370 Southwark 4
Tel: +44 (0)20 3755 6000Fax: +44 (0)20 3650 7000
www.howardkennedy.com
Dan HydePartnerT: +44 (0)20 3755 5524E: [email protected]
Ian RyanPartner: Head of Business Crime and RegulatoryT: +44 (0)20 3755 5691E: [email protected]
Melanie ZwennesParalegalT: +44 (0)20 3755 5716E: [email protected]
John MartynAssociateT: +44 (0)20 3755 5593E: [email protected]
Joel LeighPartnerT: +44 (0)20 3755 5565E: [email protected]
Geoff SummersSolicitorT: +44 (0)20 3755 5733E: [email protected]
