Carl Johnson, partner and head of the regulatory department at Stephensons, outlines what we can expect to see in the field of Solicitors Regulation Authority (SRA) enforcement during 2020. 2019 was a significant year for the regulation of...
How can we help?
Stephensons has a team of specialist lawyers who advise on all aspects of professional regulation. We act for clients across a number of sectors including accountancy, education, financial services, healthcare and legal services. We have experience of successfully defending professional clients facing a wide range of conduct issues, including dishonesty, financial misconduct, serious breaches of professional standards, conflicts of interest, criminal convictions and practice related matters. If you are facing proceedings before your regulator or professional body contact our specialist lawyers on 0203 816 9274.
Why choose Stephensons?
Our firm has developed an excellent reputation in this field and we are recommended by the Legal 500 for professional disciplinary work. We have a network of offices, including London & Manchester, and we act for clients nationwide. We take a pro-active approach to defending cases and we pride ourselves on achieving the best possible results for our clients. We appreciate that regulators often impose tight deadlines and we regularly prepare cases at very short notice. We also understand the needs and anxieties of professional clients at risk of a restriction of their practice or in serious cases the loss of their livelihood. We recognise that being the subject of a regulatory investigation or professional conduct proceedings is a daunting prospect and we provide clear and strategic advice at each stage.
Professional Discipline & Fitness to Practise Lawyers
Head of Regulatory Law Carl Johnson talks about the role his team take in professional discipline and fitness to practise issues. Carl discusses the sort of cases the team at Stephensons can handle, the possible outcomes of professional discipline investigations and why legal advice is vital.
"This area of law involves cases which are often highly emotionally charged. For a professional to be under scrutiny by their regulator or professional body that can create a lot of stress, a lot of anxiety and put clients under a lot of pressure. A specialist lawyer provides a much needed barrier between the professional and their regulator and can help absorb some of that pressure and stress, and that's an important service that we provide to our clients." - Carl Johnson
Our team of professional discipline lawyers regularly defend clients before a number of regulators and professional bodies. These include the following:
- The Association of Chartered Certified Accountants (ACCA)
- The Chartered Institute of Management Accountants (CIMA)
- The Financial Conduct Authority (FCA)
- The General Dental Council (GDC)
- The General Medical Council (GMC)
- The General Pharmaceutical Council (GPhC)
- The Health and Care Professions Council (HCPC)
- The Institute of Chartered Accountants in England and Wales (ICAEW)
- The Nursing and Midwifery Council (NMC)
- The Solicitors Regulation Authority (SRA)
- The Teaching Regulation Agency (TRA)
- The Royal Institution of Chartered Surveyors (RICS)
- The United Kingdom Council for Psychotherapy (UKCP)
If you have been notified that you are under investigation by your regulator or professional body, you should seek specialist legal advice in order to protect your interests and safeguard your practice. We can advise you on the professional implications of the matters being investigated and what response ought to be made to your regulator. Where appropriate, we will seek to conclude matters as soon as possible, either through detailed responses during investigations or resolving cases by consent. If you are ultimately referred to a conduct hearing, we will advise you on the appropriate defence strategy and provide effective representation.
Our lawyers regularly deal with all aspects of professional regulation and can assist you with the following matters:
- Advice on regulatory compliance;
- Assisting with applications for registration and authorisation;
- Preparing notifications to regulators and professional bodies regarding reportable events;
- Advising clients under investigation, including assisting with disclosure of information, preparing written responses and attending meetings;
- Interim orders;
- Consent orders;
- Professional conduct and fitness to practice hearings;
- Appeals against decisions.
For a confidential discussion with a member of our team, please contact us on 0203 816 9274 or complete our online enquiry form.
It is our business to deliver legal services that work for our clients, and you can trust our specialists to take care of things on your behalf.
The national law firm, Stephensons, is to move into new premises in St Helens. The firm will close its current office on Corporation Street in the town on Friday January 17th 2020 and move to a new purpose built office space in Century House on Hardshaw...
staff reorder - professional discipline
- Carl Johnson
- Sean Joyce
- Laura Hannah
- Paul Loughlin
- Alison Marriott
- Francesca Snape
- Chloe Parish
- Emily Hill
- Elizabeth Groom
- Jessica Macaulay
- Cameron Stubbs