There is an increasingly complex regulatory environment, given the marked increase in the regulation of professions, professionals and businesses, over many years. At Pury Erskine Ltd our regulatory division has lawyers with in-depth experience in the regulatory environment and law, both as presenters for regulatory bodies and as defence representatives.
We will act for individuals and organisations across a broad range of regulation and professional discipline. Regulatory legislation and rules are often complex and inevitably require careful analysis. We will offer clear, pragmatic, solutions-based advice from the outset of an investigation, through to the conclusion of proceedings, should they become necessary.
We understand that individuals may find themselves under investigation by their professional regulators for many years, before facing the prospect of disciplinary proceedings. This can have serious personal; professional; reputational and financial consequences for the individual and the organisation they are associated with. The earlier we can engage with a professional regulator the sooner your position can be effectively articulated. Very often, if the response to the initial complaint is dealt with robustly, it can make the difference between a complaint being proceeded with, or you being diverted away from disciplinary proceedings. We will always hold your professional regulator to account and make sure they are acting lawfully and proportionality.
If you, or your company, are facing a regulatory investigation, intervention, or criminal prosecution it is essential there are immediate and effective responses. We have lawyers who have acted for individual professionals; senior managers; company directors and businesses across the full spectrum of regulatory offences, including manslaughter by gross negligence. At the start of an investigation it can appear that one agency alone is dealing with your matter. In complex regulatory investigations, however, it may well be there are multiple agencies involved and this can fundamentally shape the way the matter is dealt with. If, for instance, an investigation is heavily dependant upon expert evidence, establishing the respective roles and interests of the different agencies from the outset is critical.
Regulatory investigations and prosecutions have the ability to close businesses, whether charges are brought, or proved after trial. The fact of a regulatory investigation, or prosecution, can lead to significant reputational damage, to the extent it no longer becomes financially viable for a business to continue trading. At Pury Erskine Ltd we adopt the same ethos across all our complimentary services, namely that ‘prevention is better than cure’. If an individual, or company, is subject to a regulatory investigation, we will always offer complete pre-charge representation and where appropriate draft formal representations challenging whether the ‘Charging Standard’ has been met, or whether it is in the public interest for there to be a prosecution. Even if the evidential test is satisfied during an investigation, there are often persuasive arguments that can be made to have individuals and companies diverted away from the criminal justice system. If we are of the opinion that the decision is charge is wrong in law, then you will receive robust advice in relation to judicial review proceedings, or other legal avenues that can be explored.
If criminal proceedings have already been instigated, our aim will be to see if there is evidence that can sufficiently undermine the case against you, or your company, so as to have the proceedings terminated. There is always a continuing duty to review the evidence, by every prosecuting authority. We will never simply allow our clients to face the inevitability and trauma of a criminal trial, unless everything has been done in the first instance to avoid those proceedings. If required we will also advise on related legal proceedings such as claims for compensation, or at an inquest in the coroner’s court.
There are many professions subject to professional regulation, such as accountants, solicitors, barristers, doctors, dentists, nurses, midwives and vets. A professional regulatory body can investigate an individual where breaches of regulations, legislation or professional discipline are complained of.
There are a wide range of conduct issues that you could face, including a lack of integrity or dishonesty; criminal convictions; financial misconduct; professional ethical issues; practice related issues, or breaches of professional standards. We have lawyers who have presented on behalf of professional regulators, across a broad range of regulatory complaints and defended professionals at tribunals.
If you have received a notice of complaint from your professional regulator it is vital that receive early robust advice. If a detailed and measured response is articulated to the initial complaint, this is often sufficient to bring the matter to a close. Your professional regulator will understand, and expect, you to have taken legal advice at this stage, in respect of the most minor of complaints, as it is your professional reputation at stake.
If the complaint is more involved, complex, or serious it is essential that a coherent strategy is developed to guide you through what can often be a challenging process. We will instruct specialist counsel on your behalf and will work closely with them throughout. We will always seek to divert you away from disciplinary proceedings, but if they do become necessary, your defence will be prepared meticulously. If applicable we will instruct vetted experts with proven track records of giving evidence before professional tribunals, to give you the best chance of having the complaint not proved.
As with the general increase in regulation of individuals and organisations, criminal charges are now applied more frequently to matters that would previously have remained as professional failings. The complementary services provided at Pury Erskine Ltd means that if you do face parallel criminal, regulatory, or inquisitorial proceedings we have lawyers who can advise and represent you.
If you have been arrested, cautioned, charged or convicted in relation to a criminal offence it is essential that you understand the disclosure obligations you have to your professional regulator. A failure to make a disclosure can also amount to a disciplinary breach.
At the conclusion of any criminal investigation, or proceedings, we will advise you in relation to your disclosure obligations concerning DBS; rehabilitation periods under the Rehabilitation of Offenders Act 1974; where your data is held and how long it can be retained and any other disclosures relating to your employment. Essentially, if there has been a difficulty in your personal and professional life, we will advise you of any consequences beyond the conclusion of your case, to enable you to move on successfully.
Pury Erskine Ltd is authorised and regulated by the Solicitors Regulation Authority (SRA 817582)
Pury Erskine Ltd is a company registered in England and Wales (Company No. 13236632), with its registered office at Central Court, 25 Southampton Buildings, London, WC2A 1AL
Office Number: 0300 124 7711
