Regulatory Lawyers

If you or your organisation needs advice, assistance and representation for a regulatory investigation or prosecution, the team of expert regulatory lawyers at JMW is here to assist. Whether your business is concerned about regulators like the Environment Agency or the Health and Safety Executive, or you work in an industry where bespoke regulations apply, JMW can help.

Our team regularly represents clients across all the sectors of UK industry through regulatory investigations, parallel proceedings, trials and appeals. JMW's work across different industries and experience in dealing with a range of regulators means that we can tailor our service to your specific needs. Our knowledgeable regulatory solicitors can support you at all stages of the process and help to minimise any impact of such investigation or prosecution. Early intervention by our team is often successful in minimising the risk of regulatory enforcement action following an investigation.

To speak to a solicitor for strategic advice on risk management, reputational exposure and enforcement action by regulators, call JMW on 0345 872 6666 or complete our online enquiry form to request a call back.

How JMW Can Help

The experienced regulatory lawyers at JMW guide companies, directors and staff through regulatory investigations and prosecutions, with advice on crisis management and reputational risks. We provide proactive advice to keep your operations aligned with shifting regulatory rules and anticipate potential compliance issues before they manifest. Early intervention by our team can also minimise the risk of enforcement action.

With a broad range of experience across tax matters, financial services regulation, healthcare regulation and other regulatory regimes that apply in the UK, we can offer guidance that is tailored to specific industries, regulators and organisations. JMW’s services include:

• Health and safety
• Environmental
• Professional discipline
• Corporate investigations
• Financial services
• Data protection
• Trading Standards
• Inquests and public inquiries

Our experienced regulatory team offers expert advice and representation during regulatory investigations or prosecutions, to help you to meet your legal obligations and protect your reputation. We understand the powers that UK regulators have, and we can ensure you are treated fairly at all stages of the process and that evidence is collected in a legally compliant manner.

JMW is recognised by Chambers and Partners and The Legal 500 as a top UK law firm in a number of service areas. Alongside organisations, we represent company directors and officers in investigations and, if necessary, defend prosecutions brought by the relevant public authorities.

Meet Our Team

JMW's expert regulatory solicitors have been involved in some of the largest regulatory interventions, investigations and prosecutions in the UK, and we have a strong track record of success in representing our clients. This depth of knowledge allows us to develop strategies to overcome the challenges of a regulatory investigation or prosecution and minimise disruption to business operations during the process.

What Services Do JMW's Regulatory Law Solicitors Offer?

Whether you are under investigation by an enforcement agency, self-reporting a regulatory breach or wish to conduct an internal investigation, JMW's regulatory solicitors can advise, assist and represent you. We offer advice to businesses of all sizes on regulatory issues, investigations, prosecutions, and sector-specific regulatory regimes.

We have represented clients and liaised on their behalf with a range of authorities, including:

• Trading Standards
• HM Revenue & Customs
• The Health and Safety Executive
• The Financial Conduct Authority
• The Intellectual Property Office
• Prudential Regulation Authority
• Competition and Markets Authority

Regulatory law can be complicated and differs from industry to industry. As such, it is vital to work with expert solicitors with relevant experience in regulatory law to get the most accurate and practical advice. JMW's thorough expertise covers everything from regulatory issues that affect all businesses to more specific concerns that apply only in niche circumstances. This includes everything from preventing fraud and related financial crimes, tax evasion and health and safety regulations, to compliance with the Bribery Act, or the specific rules imposed by regulators like the Competition and Markets Authority or other organisations.

For businesses that need to take action because of regulatory or compliance issues, our specialist lawyers can support you with this. We can present evidence of remedial action to the regulator in question and aim to conclude investigations or proceedings without the need for formal action. In addition to being a leading regulatory team, JMW is a full-service law firm and can offer reputation management, criminal defence and other relevant services to those involved in regulatory investigations.

Q

What is regulatory law?

A

Regulatory law encompasses the rules and procedures that govern, control and oversee specific industries and practices within England and Wales. These laws are usually overseen and enforced by responsible regulatory bodies and are applied in many sectors. For example:

• Financial services: Overseen by regulatory bodies like the FCA and PRA, regulations in the financial services industry are designed to maintain the stability and integrity of financial markets and protect consumers.
• Health and safety: The Health and Safety Executive enforces regulations relating to workplace health and safety to prevent workplace accidents and illnesses across all UK industries.
• Environment: The Environment Agency sets and enforces regulations to protect the environment, control pollution, and maintain sustainable use of natural resources. These are sometimes sector-specific, but all industries have environmental responsibilities under UK law.
• Data protection: The Information Commissioner's Office enforces regulations related to the handling of personal data and monitors for compliance with the Data Protection Act 2018. Any organisation that controls personal data must abide by these laws.
• Competition and consumer protection: The Competition and Markets Authority works to promote competition for the benefit of consumers, to prevent businesses from engaging in anti-competitive practices.

In all cases, businesses that are under investigation or suspected of failing to comply with regulations should seek legal advice immediately.

Q

Do I need a solicitor for a regulatory investigation?

A

It is vital to seek legal advice from the moment you learn that an investigation will take place. A solicitor can advise on your legal position, explain the regulator’s powers, and manage communication on your behalf. This includes monitoring investigations to ensure that evidence is collected legally and in line with the regulator's powers. We will prepare responses, gather evidence and present your case clearly on your behalf, which can often preclude the need for further action.

JMW can identify risks early, challenge procedural issues and work to reduce potential penalties. In cases where the matter escalates, we will provide representation in interviews, hearings, or court proceedings and work to deliver the best possible outcome.

Q

What regulatory enforcement actions could I face?

A

The outcome of a regulatory investigation will depend on the findings and severity of the issue. Following a successful intervention by our team, the regulator may take no action or issue a warning or guidance. Where concerns are more serious, they may impose fines, place restrictions on licences, or require changes to how a business or individual operates.

In the most severe cases, outcomes can include suspension or loss of licence, public censure, civil enforcement (such as director disqualification) or criminal prosecution, which comes with its own penalties. JMW can make sure you understand the potential outcomes from the start of the process and work towards the best possible resolution for your organisation.