Regulatory Investigations & Enforcement

Q: What about civil asset recovery proceedings?

Our team can help with financial crime proceedings including civil asset recovery proceedings, fraud investigations and Financial Conduct Authority (FCA) investigations. See our financial crime pages for more advice and support. If your business is being investigated then our business law team can also help with regulatory investigations .

Government departments and independent agencies in the UK can investigate and prosecute people and businesses for breaking the law or breaching regulations.

If you’re being investigated, it’s vital that you get expert legal advice.

We’re one of the few law firms that offer the specialist legal advice and representation you need. We’ll explain everything in plain English, so you’re always in the loop.

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Helping You With Regulatory Investigation & Enforcement

Our experienced solicitors will guide you through your case and reduce disruption and damage. We can also help keep the story out of the media.

You may be investigated by:

Financial Conduct Authority – breaches of codes of conduct by businesses or professionals that provide financial services
HM Revenue & Customs – tax evasion
Environment Agency – breaches of environmental law.

After the investigation, you may face criminal prosecution in court which can result in punishments. This can have a long-lasting impact on your business and private life.

Regulators can:

Interview you under caution
Force you to hand over documents or information
Search your offices or home
Seize and search your computer or other electronic devices
Freeze your company or personal assets
Charge you with a criminal offence
Prosecute you through the Magistrates’ or Crown Courts.

Our business crime teams can also support your business with regulatory investigations.

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We have the largest private client team in the UK, our team of experts are here to provide discreet legal advice to support you and your family.

Jason Newall

Partner

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Meet Our Experts

Jason Newall

Partner

Find out more

Frequently Asked Questions

We’re one of the few law firms that offer the specialist legal advice and representation you need. We’ll explain everything in plain English, so you’re always in the loop.

What regulators can you help with?

We deal with all regulators, including:

Serious Fraud Office (SFO)
Office of Fair Trading (OFT)
H M Revenue and Customs (HMRC)
Competition Commission
Financial Conduct Authority (FCA)
Dept for Business, Energy & Industrial Strategy (BEIS)
Health and Safety Executive (HSE)
Environment Agency (EA)
Professional disciplinary bodies.

What about civil asset recovery proceedings?

Internal investigations & whistleblowing

Regulators are focused on making sure firms and individuals act fairly and responsibly. This is why more businesses and organisations are under greater scrutiny because of recent events like the Leveson Inquiry and Libor scandal. The public now demand greater transparency and morality from the corporate world.

Our Regulatory & Criminal Investigations Group can provide expert legal support and advice to you if:

The investigation is criminal or regulatory
You are the investigator conducting an investigation.
You’re the subject of an investigation
You’re a whistleblower or considering whistleblowing
Being investigated.

Professional disciplinary investigations & tribunals

As a professional, you know that your reputation is key for success. Investigations, tribunals, and disciplinary action can all put that at risk. Our solicitors can help protect your reputation and your career if you’re facing an investigation or tribunal.

Many professions are overseen by bodies who can investigate individuals and companies who they suspect have broken industry regulations. This can lead to penalties and damaging media coverage.