Effective regulations are in place to protect employees, customers, businesses and the environment, and whichever industry we work in, there are bound to be regulations that we must adhere to.
1. Governing Bodies
While some are all-encompassing such as health and safety regulations, some industries are regulated by a specific governing body, such as:
- Financial Conduct Authority
- Solicitors Regulation Authority
- General Medical Council (GMC)
- General Dental Council (GDC)
- General Pharmaceutical Council (GPhC)
- Nursing and Midwifery Council (NMC)
- Coroner’s Inquests
- Care Quality Commission (CQC)
- Disclosure and Barring Service (DBS)
- Environment Agency / Natural Resources Wales
- Health and Safety Executive (HSE)
As per different industries, there will be other specific governing bodies that regulate activity for the safety of stakeholders and the environment.
2. Breaches of Regulations
Landing oneself in breach of regulations can lead to investigation, and in the most serious of offences, prosecution.
We understand how much strain and stress an investigation can have on a person or a business and their reputations. This is why our regulatory defence solicitors aim to act on your behalf with speed and efficiency.
If you should come under investigation by a regulatory body, you will require the help of an expert. This is because the regulatory body is at significant advantage with the information and interpretations of codes of conduct that they enforce. It is crucial to have an experienced regulatory defence solicitor on your side.
3. Impact of an Investigation
Whether you are guilty or not guilty of breaching regulations, the prospect of an investigation alone can severely impact personal prospects and brands.
It is paramount to deal with these matters quickly so as to limit the damage wherever possible. If financial penalties are given, they can be substantial, and so it is of utmost importance that you seek expert professional legal advice at the soonest opportunity.
We can also represent your business for any other accusations of business crime if necessary.
What is a regulatory offence?
A regulatory offence is anything that goes against the regulations for a specific industry. Regulations are put in place to ensure compliance with various aspects of business or healthcare practice, and so a breach of these can pose a risk to the safety of people, businesses and the environment.
Each governing body will have its own set of regulations. It is therefore important to familiarise yourself with what is required of you within regulations and what is not allowed.
A breach of regulations can lead to hefty fines, and in serious cases, a prison sentence.
What are the consequences of breaching regulations?
The severity of the punishment will depend on the severity of the breach and the impact it has had on individuals or businesses.
In most cases, there is the possibility of a fine, which can be quite large. More severe instances may lead to a fine and imprisonment. The right to practice within the particular field can also be revoked.
It is crucial to seek professional legal advice at the soonest opportunity to ensure that you can get the best possible outcome for the circumstances you are in. Contact a regulatory defence solicitor as soon as there are concerns that you will be investigated, and we will do all that we can to help.
What happens if I am called to a Coroner's Inquest?
When a post-mortem shows that a death is not from natural causes, or if somebody has died under arrest or in prison, the Coroner can investigate the cause of death.
If you are called to a coroner’s inquest as a witness, you will have to provide a witness statement, so that the coroner can establish the cause of death.
Should you be called as a witness, we can assist in the drafting of witness statements to ensure that all of the relevant information is included in your statement. It can be a stressful experience, and so our regulatory defence solicitors will ensure that you are aware of any risks and well-prepared for any difficult questions you may face.
Our expert team can also provide practical advice on any further investigations that may follow, such as criminal proceedings or referral to your regulator.