Regulatory

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).

Our Regulatory Experience

Advising the ADE (Association of Distributed Energy), the ADBA (Anaerobic Digestion & Bioresources Association)

Advising the ADE (Association of Distributed Energy), the ADBA (Anaerobic Digestion & Bioresources Association) and individual entities in solar and other renewable technology on both their commercial contracts and regulatory issues.

Disciplinary procedures and challenges

Advising UK Regulators and Professional Associations on their disciplinary procedures and challenges to those procedures. Assisting with the drafting of procedures and guidance documents.

Building Control (Amendment) Regulations 2014

Advising the Association of Consulting Engineers Ireland on the implications of the Building Control (Amendment) Regulations 2014 for its members. These regulations radically overhaul the regulation and certification of building control in Ireland.

Irish Auditing and Accounting Supervisory Authority (IAASA)

Advised the Irish Auditing and Accounting Supervisory Authority (IAASA), a professional body which supervises the regulatory functions of public interest entities and prescribed accountancy bodies, on judicial review proceedings being brought against it.