When facing professional disciplinary issues, clients need advice that is both expert and practical. Our team brings extensive experience representing both professional bodies that set industry standards and the businesses and individuals who are subject to them.
This dual perspective allows us to understand the challenges from both sides, enhancing the quality and relevance of the advice we provide. We understand not only the specific rules of the regulators but also the general principles of public law that govern them.
Our strong relationships with key regulatory bodies—including the Solicitors Regulation Authority (SRA), Financial Reporting Council (FRC), Institute for Chartered Accountants in England and Wales (ICAEW), Insolvency Practitioners Association, and the Royal Institution of Chartered Surveyors—mean we are well placed to guide clients through the process.
They have excellent lawyers and robust back-up from their dispute resolution department.’
Chambers and Partners 2025
Our team includes former regulators and specialists from across the firm, giving you access to a wide range of expertise. We work closely with colleagues who advise on professional indemnity matters, since many professional disciplinary matters start or conclude in negligence claims. We work closely with our regulatory litigation team and undertake advocacy before disciplinary committees. Additionally, we are frequently instructed to draft professional rules and procedures and to advise on complex ethical issues.
Our Services
Recognised Investment Exchange proceedings
- Acting in contentious regulatory proceedings under Exchange Rules before the Exchange's Disciplinary Tribunal.
Lloyd's disciplinary tribunal
- Representing an individual who was asked to provide witness evidence to a Lloyd's disciplinary tribunal relating to the investigation of non-financial misconduct on the Lloyd's market. The matter comprised of the first formal enforcement action by Lloyd's in respect of this type of regulatory breach.
Solicitors Regulation Authority / Disciplinary Tribunal
- Acting for solicitors in respect of investigations by the SRA, including in respect of high-profile and complex allegations.
ICAEW
- We are instructed by an individual finance director who is regulated by the ICAEW in relation to alleged client money defalcations pursuant to the Clients' Money Regulations 2017.
Insolvency Practitioners Association
- We are instructed by an Insolvency Practitioner licensed by the Insolvency Practitioners Association (IPA) in relation to alleged breaches of conditions imposed in a previous IPA sanction and integrity breaches for deliberate concealment.
Financial Reporting Council
- We are defending a former senior audit partner in a high-profile investigation brought by the Financial Reporting Council.
We act for a party in relation to their audits of certain companies of the troubled UK and international steel maker – Liberty Steel, which is part of the GFG Alliance owned by Sanjeev Gupta. We are advising and representing our client on audit related investigations by the ICAEW and FRC, together with additional ongoing issues concerning the audits.
FRC, ICAEW and regulatory investigations
- We regularly advise on all stages of FRC, ICAEW, FCA, Takeover Panel and the Pensions Regulator regulatory investigations and proceedings involving accountants, including experience with the IPA, Insolvency Service, ICAEW and ACCA in relation to insolvency practitioners.
Audit risk and liability
- We advise upon and defend audit negligence claims, with our past cases including some of the major accounting scandals, frauds, banking, insurance and corporate collapses, and various forms of misstatement.
Accountancy firms' tax claims
- We have substantial experience in working with tax practitioners and defending them on contentious tax-related problems arising in the course of their client-facing tax, audit, accounting and transactional practices.
Risk management
- We have a track record in handling our accountancy clients' complex, high value and sensitive risk management matters, including all forms of third-party disclosure requests.
Institute and Faculty of Actuaries
- We have acted for actuaries in connection with investigations by the IFoA.
Awards and Recognition
Latest News & Insights
Failure to prevent fraud: corporate prosecution guidance updated
Find out more
Failure to prevent fraud: UK Finance Guidance for the financial services sector
Find out more
Threats to financial sanctions compliance in the UK financial services industry
Find out more