Regulatory Law
Welcome to our all-inclusive reference on regulatory legislation
Do you find yourself lost in the tangle of legislative law? Navigating this tricky terrain can be intimidating; regulations and criteria appear to change with the seasons. Still, regulatory legislation offers the necessary structure to ensure that companies and professions operate within the legal limits set by government bodies.
In the realm of business and professional behaviour, regulatory law serves as a referee, making sure companies adhere to public authority norms. These organisations have the authority to enforce rules, conduct audits, and take legal action against those who disobey. This approach is akin to the principles of administrative law, which also strives to maintain compliance and accountability. Furthermore, expert committees and tribunals play a critical role in resolving conflicts and determining the fate of companies and individuals, even though their procedures are generally less formal than those in conventional court cases.
With over 12 years of experience in this field, our company offers expert legal advice and conflict resolution services in regulatory legislation. We are equipped to guide companies and individuals through the complexities of regulatory compliance. Whether you are contesting a decision or facing claims of non-compliance, our team is prepared to provide customised support—from assisting with investigations and evidence collection to obtaining witness statements and navigating legal procedures with confidence. Our experts also draw on principles of human rights law to ensure that regulatory measures are applied fairly.
Please contact our experts if you require professional advice on issues pertaining to regulatory law. We are committed to helping you understand your legal responsibilities and defending your interests against any regulatory challenges you may encounter.
Ready to talk? Book a free 15 mins Consultation
Frequently Asked Questions
What powers do UK regulators have when they investigate me or my business?
Regulators such as the FCA, the HSE, Ofcom, the CQC and the Information Commissioner’s Office hold a wide range of statutory powers: to require information and documents, conduct interviews under caution, enter premises (sometimes without notice), interview staff, and ultimately commence enforcement proceedings. The exact powers depend on the regulator’s founding statute. Early legal advice is essential before responding to any formal information request.
What sanctions can a regulator impose if it finds against me?
Sanctions vary by regime but commonly include private warnings, public censure, financial penalties (which in some sectors can be a percentage of group turnover), conditions on a licence, suspension or revocation of authorisation, prohibition orders against individuals and, in serious cases, referral for criminal prosecution. Many regulators also publish their decisions, with significant reputational consequences.
Did the regulator have to consult before introducing the new rule?
Often, yes. Many regulators are subject to statutory consultation duties. Even where consultation is not strictly required by statute, the courts have developed common law fairness duties (the so-called Gunning principles) which require that consultation be undertaken at a formative stage, with sufficient reasons given, adequate time allowed, and the responses conscientiously considered. A flawed consultation can be set aside on judicial review.
How do I appeal a regulator’s decision?
Most regulatory regimes provide a statutory right of appeal, often to a specialist tribunal (for example the Upper Tribunal Tax and Chancery Chamber for FCA decisions, or the First-tier Tribunal in many other regimes). Time limits are typically short, sometimes 28 days from the decision notice, and the appeal may be on the law, the facts, or both depending on the regime. Tactical decisions in the first 14 days of a decision letter are critical.
Can a regulator’s decision be challenged by way of judicial review?
Yes, where no adequate statutory appeal exists, or where the challenge is to a wider policy or rule rather than a specific enforcement decision. The court reviews the legality, rationality and fairness of the decision rather than the underlying merits. Permission must be obtained and the claim brought promptly and in any event within three months. Where a statutory appeal route exists, the courts will usually expect you to use it first.
I am facing a regulatory interview. What should I do?
Take legal advice before you respond. Establish whether the interview is voluntary or compelled, and whether anything you say can be used in subsequent criminal proceedings. Make sure you understand the allegations, request and review the disclosure provided, and prepare a written response where appropriate. Walking into an interview unprepared is one of the most common and costly mistakes regulated firms and individuals make.
Get in Touch
Please provide as much information as you can using this form. This will help us save time by having the most appropriate and relevant team member to contact you.
If you prefer not to share information in writing, you can request a callback using any of the other forms above.
Please make sure to send us your mobile number and email address so that we may contact you promptly.
Have Information to Share?