When it comes to regulatory matters, you shouldn’t have to deal with them alone
Regulatory investigations are where regulators from a public authority or government agency can exercise authority over your business. There are various regulating bodies who monitor accountants. For example, ICAEW and the Financial Reporting Council (FRC) ensure Chartered Accountants are meeting the highest ethical and technical standards. Furthermore, they can request disciplinary hearings if errors are found. The tribunal will judge the case and decide what a punishment should be.
Our aim is to ensure that the investigation and any subsequent hearings are carried out in an appropriate manner, but more importantly that your rights and interests are protected. We are on hand to provide you with clear, and concise advice and help you achieve your desired outcome.
Important things to consider:
- The regulating bodies of ICAEW and the Financial Reporting Council (FCR) are responsible for considering cases which raise important issues affecting the public interest.
- It’s important to seek legal advice for regulatory investigations and disciplinary hearings as soon as possible.
- Breaching the codes of conduct of your role in any way can lead to a regulatory investigation.
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Support and guidance with every stage
The type of regulation authority used depends on the business they want to investigate. For example, ICAEW and the Financial Reporting Council (FRC) regulate Chartered Accountants. They have the powers to investigate and prosecute an individual or business for breaking the law or breaching regulations. In addition, these investigations can lead to punishments, disciplinary hearings and criminal proceedings in court.
When investigating 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
Disciplinary hearings are usually held privately but there are instances where they’re held publicly. The defendant has a chance to tell their side of the story and they can call up their witnesses. Our solicitors can represent you defend your case during the hearing.
Finally, the tribunal will discuss and consider their decision before informing you. Additionally, after the hearing, you also have the chance to appeal if you don’t agree with the outcome. This may result in a re-hearing.
Our solicitors can offer you specialist legal advice to help you get through this tough time. We will support and represent you during regulatory investigations and subsequent court proceedings. Additionally, the dedication and experience of our solicitors ensures your case will have little disruption or damage as a result of a regulatory investigation. Our aim is to defend you and successfully protect your business and private life from suffering harm as a result of an investigation.
Some of the services that we offer are:
- A review of the allegations and evidence provided.
- Corresponding and liaising with the regulator on your behalf.
- Advising on case strategy.
- Providing representation at investigation interviews and final hearings.
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“The legal process, from beginning to end, can be a very daunting experience for anybody. My aim is to provide clear and effective advice and support to my clients, no matter the circumstance or legal issue, in order to reach the best outcome for them”.