Defending regulated professionals and professional discipline

[fusion_text]Regulatory bodies are used in many professions including those based in medicine, law, financial services, teaching and policing to ensure that patients, clients and customers receive a competent level of service.

No professional relishes being investigated by their regulator, be it the SRA (The Solicitors Regulation Authority), the GMC (The General Medical Counsel) or the FCA (The Financial Conduct Authority) or the myriad of other regulators.

Fortunately, most professional regulatory investigations follow a similar, established procedure:

1. 1. Preliminary enquiries

 

You have been reported to or come to the attention of the regulatory body and they may initially conduct initial enquiries through correspondence, to establish the basis of a future investigation.

2. 2. Decision to investigate

 

Once the preliminary enquiries are over, if the regulatory body suspects it has found deficiencies in your conduct then you may be officially informed that a full investigation will take place.

3. 3. Investigation

 

The investigation will be a wholesale look in to the relevant affairs. Your records may be required and interviews with relevant witnesses may be held.

4. 4. Referral to a Tribunal

 

After the investigation a decision will be made on the evidence gathered whether to cease the regulatory process or refer the matter to a tribunal.

5. 5. Tribunal

 

This will usually be the regulatory body's tribunal in which the case against you will be set out in a more formal legal setting. At this point you will have the chance to raise a defence or seek to mitigate any mistakes on your part.

6. 6. Determination of the Tribunal

 

Tribunals may have the power to sanction, fine or find you unfit to continue practising your profession. Equally, it could be established that no misconduct was committed at all.[/fusion_text][fusion_text]

"The key at each stage of the process

 

is to engage with the regulator and obtain specialist advice"

How can we help?

Our specialist professional discipline solicitors and regulatory lawyers have extensive experience of dealing with a number of regulatory bodies.

The key at each stage of the process is to engage with the regulator and obtain specialist advice.

Recently, we secured the exoneration of the former Director of Legal Affairs at News International before the Solicitors Disciplinary Tribunal of any wrongdoing in the News of the World Phone Hacking scandal. Amongst other matters, we are engaged in challenging a Fitness to Practice decision for a doctor at the High Court.

When the career and profession you have worked so hard to establish is at stake, our team is an invaluable resource. Known for their robust approach our team can guide you through the process to secure the best possible result.

James Saunders and Matthew Purcell lead the professional regulation team and are always happy to have a confidential, no-obligation discussion with potential professional clients.