We appreciate that, in addition to facing claims from clients and other third parties, regulated professionals can be subject to wide-ranging and complex investigations by regulating bodies and that these investigations can have far-reaching consequences.
We assist professionals across many disciplines with regulatory issues. In particular, we handle:
- Matters arising out of the Financial Conduct Authority’s (FCA) use of its supervisory, investigatory and enforcement powers, including drafting submissions, liaising with investigators, attending FCA interviews and dealing with the Regulatory Decisions Committee (RDC) and appeals to the Upper Tribunal;
- Investigations, supervisory and disciplinary action undertaken against member firms by other regulatory bodies, including:
- the Solicitors Regulation Authority (SRA);
- the Institute of Chartered Accountants in England and Wales (ICAEW);
- the Royal Institution of Chartered Surveyors (RICS);
- the Prudential Regulation Authority (PRA);
- the Architects Registration Board (ARB); and
- the Bar Standards Board (BRB).