Regulatory Investigation Defence Solicitors

Draycott Browne’s team of specialist Regulatory Solicitors offer expert legal advice to individuals and companies being investigated by a regulatory body.

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

Call us today on +44 (0)161 452 7679 to get the specialist advice you need to move forward from the investigation as soon as possible.


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

What is a regulatory investigation?

A regulatory investigation is a case bought 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.

What should I do if I’m put under 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 solicitor.

Your solicitor will be able to establish the meaning of the letter and how serious the breach may be, before ensuring you’re 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 are the penalties?

The penalties for being found guilty of breaching regulations vary in severity. In all cases, however, the directors of a business found guilty of a regulatory breach could face criminal charges.

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.

Our regulatory defence expertise

Our 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 dealing with cases involving:

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

Contact us

If you have received notice you’re under investigation from a regulator, contact the specialist regulatory solicitors at Draycott Browne today. Call us on +44 (0)161 452 7679 or fill in our contact form on this page to request a call back from a member of our team.

Contact Us