Professional Discipline Investigations

"handles defence-side work for individuals and institutions facing criminal charges and disciplinary enforcement actions"— Chambers 2021

If you think you may need to report a matter to your professional discipline regulator or are under investigation then we can help.

Our team of experts help regulated professionals in any sector with particular expertise in financial services, legal, accountancy and actuarial, and healthcare.

It’s important to get advice early on – if possible, we like to be brought in early when there is an internal investigations or regulatory notification so we are able to set a strategy to reduce the risk of investigation and matters deteriorating.

Allegations about misconduct, integrity or behaviours are reputationally damaging, at risk of being career limiting or even career ending. At worst, they can also have the ability to lead to criminal investigation and prosecution. We are very experienced in advising professionals, and their employers, when regulators have concerns. We have a measured approach and want to avoid protracted legal or regulatory proceedings.

Historically investigations were often for criminal offence allegations or misconduct in terms of breaking your profession’s regulatory code. Increasingly internal and regulatory investigations arose through whistle-blowing allegations of bullying, gaslighting, harassment, discrimination and #metoo.

We draw on our insight and experience of these issues in the employment law setting to inform our strategy and advice.

We ask our employment or criminal lawyers to advise with us particularly if there is a risk of disciplinary proceedings or the allegation is of underlying criminal conduct.

Our Experience

Represented an actuary under investigation by the Institute and Faculty of Actuaries regarding an allegation of misconduct during an internal investigation. Complaints not upheld
Represented senior official in police force against allegations of misconduct and human rights breaches subject to internal investigation procedures. Complaints not upheld.
Represented partner of international law firm subject to Solicitors Regulation Authority investigation for allegations of dishonesty. Investigation discontinued.
Acted for financial services professional before Regulatory Decisions Committee at FCA for allegations of lack of integrity and dishonesty.
Advised accountancy firm in relation to ICAEW investigations before Audit Registration Committee.
Advised Insolvency Practitioner in relation to ICAEW investigation before Investigation Committee.
Acted for solicitors in proceedings before the SRA who also faced parallel criminal investigation or prosecution for mortgage fraud.
Advised a law firm, and its managing director, under investigation for potential breaches of the SRA Code of Conduct accounts rules.
Represented a dentist in fitness to practice proceedings before the General Dental Council (GDC).
Advised a tax advisory practice in disciplinary proceedings before the Tax Disciplinary Board (TDB) concerning alleged breaches of professional competence.
Represented senior member of staff at the Independent Office for Police Conduct (IOPC) in respect of a re-investigation into a death in custody investigation.
Advised individuals seeking to reverse HMRC’s decision to revoke their standing as ‘fit and proper’ persons for the purpose of being able to be directors of a money transfer business.

Funding

We can discuss the funding options, the proposed scope of work and budget with you. Depending on the situation, you should check whether you have any legal expenses insurance (for example under professional indemnity, Directors’ & Officers’ or household insurance policies) or consider whether a third party, such as an employer, will contribute to your legal fees (eg under an indemnity).