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Professional discipline & regulation

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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 01616 966 229.

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

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Our experience

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)

Facing investigation?

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 services

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 01616 966 229 or complete our online enquiry form

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4.5out of 10
4.5 score on Trustpilot Based on count 1563

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