Our lawyers advise professionals such as accountants, lawyers, insolvency practitioners and pension trustees, who are facing challenge or investigation by regulatory or enforcement bodies. Knowing the black letter law is only one part of the job. The real value comes from tactical nous and a sensitivity to what will play best with a body or tribunal. We have a keen insight into how best to protect individuals. This is drawn both from our many years of acting for individuals facing regulatory challenge and from our experience of having worked for the accounting enforcement body, the Financial Reporting Council.
Our lawyers can assist at all stages of proceedings, from initial enquiries and responses to requests for information, through to responding to formal allegations and representation in disciplinary hearings and appeals.
On occasion, professional discipline matters can also give rise to employment issues, criminal investigations and High Court litigation. Where that happens, we work closely with the relevant specialist within the firm.
For Financial Services Disciplinary issues, click here.
A selection of recent work highlights include representing the following:
- an accountant in relation to an ongoing high-profile investigation by the Financial Reporting Council (FRC)
- the FRC in a publicly announced investigation
- an accountant in relation to a complaint by the Institute of Chartered Accountants in England & Wales (ICAEW)
- an insolvency practitioner in a contested licencing application to the Association of Chartered Certified Accountants (ACCA)
- a corporate in relation to information requirements from the Pensions Regulator.