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Regulatory Law Solicitors

Our experienced Regulatory Solicitors can help protect and represent you and your business affairs across a variety of regulatory law matters including providing comprehensive support during regulatory investigation. We possess the legal-craft and determination to represent you robustly if you or your business face prosecution.

Regulatory law essentially refers to rules, policies and laws that are created by a government agency or executive body under delegation by the legislature. Regulatory law exists to ensure companies and professionals are all held responsible for protecting the public, employees, and the environment.

Irrespective of whether you reside in public, private or third sectors, potential exists, for the occasion where some form of omission, a failure to act, or a human error, can put you at odds with industry specific regulations. This could mean the law has been breached, leaving you vulnerable and open to investigation. When this happens, our Regulatory Lawyers can provide the expertise and help you need. Seeking high-quality legal advice and representation is crucial to providing the best chance of securing a positive outcome.

Our Regulatory Solicitors take great pride in helping protect our clients by providing the highest standards of advice and advocacy in relation to regulatory investigation and prosecution.

We have a wealth of experience providing legal support to individuals and businesses of all sizes undergoing regulatory investigation and provide you with effective, tailored legal advice.

Call us today to get the specialist advice you need to move forward from the investigation as soon as possible.

What is a regulatory investigation?

A Regulatory Investigation is a case brought by a regulatory body against a person or individual suspected of being in breach of regulations covering the sector they operate in.

All businesses must abide by a regulatory framework laid down by the government. Many of these, such as how you dispose of waste or report your finances, are cross-sector and apply to every business in the UK to a greater or lesser degree. Alongside this, some sectors (healthcare and accountancy, for example) have their own regulators which govern how companies and individuals in these industries must operate.

Should your business ignore these regulations, fail to meet the required standard, or be suspected of doing so, you will be subject to an investigation by the relevant body.

If a regulator chooses to bring an investigation against your business, you will typically be informed via a letter sent to your company secretary inviting you to attend a meeting or dictating an appointment time for an interview regarding the alleged breach. This letter may also detail the specific regulation you have been accused of breaching.

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Our legal team is available 7 days a week

Criminal Defence Expertise for Regulatory Offences

Specialist expertise in defending all types of regulatory offences

FCA Investigations
ICO Investigations

Our Regulatory OFFENCES Advice Team

Shaun Draycott

Shaun Draycott

Managing Director & Serious Crime Solicitor
Rob Mann

Rob Mann

Director & Serious Crime Solicitor
Venessa Schweitzer

Venessa Schweitzer

Consultant Litigator
Caitlin Cardwell

Caitlin Cardwell

Crown Court Litigator
Meet the Team

What are the penalties for regulatory crimes and offences?

The penalties for regulatory offences vary depending on the legislation involved and the seriousness of the breach. Businesses may face fines, enforcement action or prosecution, while directors and senior managers can also face personal liability where the relevant offence and statutory test are satisfied.

Corporate criminal liability has also been widened by the Crime and Policing Act 2026. A company or partnership can now be criminally liable where a senior manager commits an offence while acting within the actual or apparent scope of their authority.

An authority may choose to investigate and prosecute an alleged offender privately, or may consider public prosecution with the support of the police or the Crown Prosecution Service (CPS).

Criminal proceedings may be considered for cases which impact public safety, such as offences resulting in fatalities. Punishments have been known to range from small fines through to being banned from being a company director and, in particularly severe cases, jail time. In all cases, being found guilty will leave you with a criminal record.

How do regulatory solicitors help?

Whatever industry you are in, it is crucial that you have a full understanding of the regulatory environment that surrounds and impacts your business

Draycott Browne can provide detailed insight when you need it. Our Regulatory Law Solicitors have in-depth knowledge of which areas of your business operation are regulated and by which authority. We can help you to forward plans surrounding potential regulatory issues, and we can best represent your interests where any form of breach has occurred.

If you find yourself subject to Regulatory Investigation or facing professional disciplinary action, we are committed to providing expert, discreet and technically superior legal advice and representation, to best defend your position and limit any damage to you or your organisation. Our first-hand experience in dealing with different regulators and their strategies during investigations means, with Draycott Browne you have the best chance of getting the most positive outcomes.

Our specialist Regulatory Solicitors are available to assist you throughout the process of being investigated by a regulatory body, providing clear, concise advice every step of the way. This includes:

  • Advising you on what to say, if anything, to the authorities
  • Attending interview with you
  • Challenging any notices or orders against you
  • Keeping you informed on the process of the investigation every step of the way
  • Liaising and negotiation with the regulator and authorities on your behalf
  • Thoroughly preparing your defence should your case go to trial
  • Providing you with first-class representation in court
  • Helping you deal with any lasting effects from the case

Who do regulatory solicitors help?

Our Regulatory Law team specialises in dealing with regulatory cases involving the Financial Conduct Authority (FCA), an area in which legal advice is imperative owing to the increase in hefty penalties given in recent years.

Alongside this, we are also experienced in working closely with the following authorities:

  • The Police
  • The Department for Business and Trade (BDT)
  • The Health and Safety Executive (HSE)
  • The Serious Fraud Office (SFO)
  • Local authority Trading Standards services
  • The Competition & Markets Authority (CMA)
  • The Crown Prosecution Service (CPS)
  • The Environment Agency
  • Local Authorities
  • The Office for Product Safety and Standards (OPSS)

The regulatory framework has also changed significantly in recent years. The Digital Markets, Competition and Consumers Act 2024 strengthened the Competition and Markets Authority's consumer enforcement powers, including powers to investigate infringements and impose significant financial penalties.

The Product Regulation and Metrology Act 2025 also provides a newer framework for product safety, regulation and metrology, including powers to update product requirements and strengthen regulatory enforcement.

We also have experience helping individuals and businesses undergoing professional discipline investigations and can provide Coroner’s Court representation.

What should I do if I’m put under regulatory investigation?

If you receive a letter informing you that you or your business are under investigation for a regulatory breach, you should immediately contact a Regulatory solicitor.

A Regulatory Law Solicitor will be able to establish the meaning of the letter and how serious the breach may be, before ensuring you are fully prepared for any questions and have all relevant evidence to hand.

A failure to do this could lead to you being unprepared when undergoing questioning or missing vital evidence, something which could have an incredibly negative impact on your case moving forward. In some cases, timely advice could stop your case from moving forward altogether, making you dramatic savings in time and money.

What will happen in a regulatory investigation?

If a regulatory authority suspects an offence, they will begin the investigation by conducting interviews with the suspected offenders. This will often be an interview under caution.

Interviews under caution may be conducted in accordance with the Police and Criminal Evidence Act 1984 (PACE) and the relevant Codes of Practice, depending on the investigating authority and the powers being used. These rules can affect how the interview is conducted and the rights available to you. You have the right to remain silent through an interview under caution, but doing so could have repercussions. It’s vital to seek the support of experienced solicitors as soon as you are invited to an interview with the police or a regulatory authority.

After the interview, the investigation may end. Otherwise, the police or authority in charge of the investigation may follow up on your statement, or consider a charge for a regulatory offence to be made against you.

They will begin collecting evidence, such as financial statements, safety policies, or digital data related to the alleged offence. While the police are more likely to request this type of evidence for criminal offences, regulatory matters overseen by other authorities may also be investigated in this manner.

Contact our Regulatory Solicitors

When facing the prospect of Regulatory Investigation, it is crucial that you get the best legal advice and highly experienced representation at the earliest opportunity. This is the best way to protect your business interests and yourself. The Regulatory Defence team at Draycott Browne, regarded as one of the best Criminal Defence Law Firms, is widely recognised as one of the North of England's leading team of criminal lawyers with specialist Regulatory law expertise.

Contact us today. If you would like us to contact you, simply fill in our online enquiry form and a member of the team will be in touch as soon as possible.

We are highly regarded, nationally across the legal profession and noted for consistently delivering positive results. Our team possesses a breadth of technical knowledge across specialist areas of Regulatory Law and Professional disciplinary proceedings that will provide you with the expertise needed when facing investigation by a regulatory body or the police.

Our team regularly act for clients in London and throughout the Midlands and of course the North West including clients from Birmingham and Liverpool. By entrusting us, you can be assured that you will be working with a team of highly skilled and experienced Regulatory Law advocates who have a thorough and comprehensive knowledge of the law.

Our legal team is available 7 days a week. If you or your business need expert legal representation, call Draycott Browne today at +44 (0)161 228 2244.

When facing the stiffest challenges, you cannot afford to settle for anything less than Draycott Browne.

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