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Professional Disciplinary and Regulatory

SA Law has gained an exceptional reputation advising professionals and regulators in fields such as medicine, healthcare, law, accountancy, education and surveying.

Professional Disciplinary

Professional Regulation exists to ensure the highest standards from key professions across many aspects of their service-delivery. Naturally, this gives rise to an equally broad range of issues for both professionals and the regulators that govern them, as does the varying expectations and opinions of clients and the public.

SA Law’s comprehensive legal services for professionals and regulators help to minimise the risks they face, and includes full representation during investigations and disciplinary proceedings. With extensive experience in key areas such as financial dishonesty, criminal convictions and acquittals, malpractice, negligence and fraud, we can help you to defend or pursue allegations from the initial investigation interview to Judicial Review.

We represent professionals at all stages of the disciplinary. We will draft a response, review evidence, advise on sanctions and mitigation and provide representation at the hearing. We can alsomake an application for a Judicial Review if appropriate. We understand how sensitive investigations can be, and the potential damage they can cause even if your name is cleared. Clients of SA Law benefit from our much broader service-offering, which includes niche expertise in reputation management and defamation.

Regulators choose us because of our comprehensive expertise and familiarity with codes of conduct, disciplinary procedures and standards of practice. We not only help to draft and amend these documents, but also assess whether they are being followed correctly during investigations and disciplinary proceedings. We represent regulators when pursuing cases against professionals, and also advise on challenges to previous decisions at the appeal stage or at Judicial Review.

Regulatory

We now live in a highly regulated world and navigating these legal obligations can be difficult and challenging. Even with the best of intentions and doing all you can to comply, issues can still arise. SA Law’s experienced team can help you navigate the legal requirements and represent you should the worst happen and you are facing an investigation or prosecution.

We represent organisations at all stages of an investigation or prosecution. We will attend interviews with you, draft a response to written enquiries, review evidence, advise on the likely outcome and what you can do to mitigate the consequences of any breach. We will also provide representation at the hearing.

We have experience of dealing with proceedings pursued by the Health and Safety Executive, Trading Standards, the FA, and numerous professional and medical regulators.

We understand how damaging investigations can be for your business or organisation. We can assist you with managing these issues and minimising any damage.

How we help you

  • Our in-depth understanding of regulated professions and regulatory law means we can act quickly when contacted, which can be invaluable.
  • Contacting us when you first become aware of an issue gives us the chance to fully advise you before a formal investigation gets underway.
  • We have a great deal of experience in reputation management and defamation, and can help to counter any negative publicity related to an investigation or its outcome.

It’s good to bear in mind...

  • If you need to deal with a any regulatory issue act quickly as time limitations can be short
  • Regulators must follow procedural requirements laid out in their code of conduct and related documentation. 
  • Even minor deviations could result in a successful appeal of Judicial Review

Examples of our work

Members of our team have recently advised on the following cases:

  • Advising companies in the defence of prosecutions brought in the criminal courts; concerning both consumer protection and health and safety at work
  • Working closely with specialist barristers who assist with gathering evidence to substantiate defence and minimise damage to a defendant's reputation
  • Advising in employment disciplinary proceedings including acting for clients in disputes with the NHS, the Football Association and the Police Force
  • Advising educational establishments including nurseries, school (both independent and academies), colleges and universities on safeguarding
  • Defended a prosecution under the Trade Descriptions Act for a chain of car repair centres
  • Advised a construction client in connection with a health and safety prosecution
  • Represented a client in connection with investment schemes authorised by the Financial Conduct Authority
  • Defended professional misconduct proceedings brought by Health and Care Professions Council in connection with allegations of breach of duty of care
  • Advised a medical regulator in connection with multiple professional misconduct proceedings arising out of allegations of financial misconduct and fraud
  • Defended a doctor in proceedings brought by the General Medical Council arising out of allegations of negligence
  • Defended Judicial Review proceedings brought by a registrant challenging sanctions to strike off

Professional Disciplinary and Regulatory Team
Tracy Lacey-Smith
Tracy Lacey-Smith
Partner | Joint Head of Commercial Litigation & Dispute Resolution

Tom Lawrence
Tom Lawrence
Partner

Clare Mackay
Clare Mackay
Associate

Chris Cook
Chris Cook
Partner | Head of Employment

Professional Disciplinary and Regulatory Related Services

Employment Work Life Commercial Litigation & Dispute Resolution
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