Practice area
Regulatory Law
Your enquiry, carefully considered
A clear first conversation. A practical next step.
Tell us what happened, what you need to resolve and whether a deadline is approaching. You do not need to know the legal terminology or have every document ready to ask for an assessment.
- Keep key dates, correspondence and any existing reference numbers together.
- We will explain whether we can help, the proposed scope and the funding or fee arrangements before you instruct us.
We advise regulated businesses and senior individuals across financial services, money services, estate agency, accountancy and other supervised sectors — on day-to-day compliance, regulator investigations and enforcement defence.
Our regulatory team supports clients through the entire regulatory life-cycle — from authorisation and licensing through to ongoing compliance, supervisory engagement and contested enforcement action.
We advise on the Fit & Proper Test and Senior Managers & Certification Regime, draft compliance frameworks and policies, and provide training to boards and senior managers.
When something goes wrong, we represent firms and individuals in regulator inspections, Section 166 reviews, enforcement investigations and tribunal proceedings, working closely with specialist counsel where required.
How we can help
- Regulator authorisations & licensing
- Compliance frameworks & policies
- Fit & Proper Test support
- Senior Managers & Certification Regime
- Regulator inspections & Section 166 reviews
- Enforcement investigations & defence
- Tribunal & appeal proceedings
- Compliance training for boards & MLROs
Our process
- 1
Initial consultation
Confidential discussion of your matter, the documents available and any time-critical deadlines that apply.
- 2
Strategy & costs
A clear written assessment of your options, realistic prospects and a stage-by-stage costs estimate so you can decide how to proceed.
- 3
Active progression
We carry out the agreed work — drafting, correspondence, negotiation or court proceedings — keeping you fully informed at each stage.
- 4
Resolution
We explain the result, any remaining obligations and the options for enforcement, review or further work. No particular outcome is promised.
Discuss your matter in confidence
Every case starts with a conversation. Speak directly with one of our solicitors and we will explain the options available to you.
Frequently asked questions
- Which regulators do you deal with?
- We deal regularly with the FCA, HMRC (AML supervision), the SRA, professional supervisory bodies and a range of sector regulators. We also advise on local authority licensing matters.
- We have received a notice from our regulator — what should we do?
- Take advice early. Regulator notices typically have short deadlines and the way you respond at the first stage can significantly affect the eventual outcome.
- Can you advise senior managers personally?
- Yes — we advise senior managers and directors who are personally affected by regulator action, including in conflict situations where their interests diverge from the firm's.
Have a different question? Contact our team for confidential advice tailored to your circumstances.
Regulatory Law solicitors near you
We act for clients across England — including Greater Manchester, the North West, Yorkshire, the Midlands and London. Choose your location for a dedicated regulatory law page with local information.
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