Professional & Regulatory Services

We use our extensive experience, specialist expertise and networks to help protect and support fellow industry professionals in today’s highly regulated marketplace.

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Legal & Regulatory Advice for Professionals 

Our multi-disciplinary team provides clear, user-friendly legal and regulatory advice for professionals, aimed at helping you avoid future problems. We act for businesses and individual professionals to minimise damage and reach a workable solution. Our key services include:

  • FCA disciplinary proceedings
  • Compliance challenges
  • Actions by the Disclosure and Barring Service
  • Disciplinary proceedings instigated by the NCTL
  • Public Inquiries
  • Regulatory and Criminal investigations
  • Judicial Review
  • Inquests
  • Import and Export control 

Specialist DBS legal defence

We can provide support and advice to individuals who have received a barring notice and would like assistance in challenging the barring notification and any subsequent appeal.

Legal advice to safeguard your business

Our preventative approach for businesses can include supporting you to develop the right due diligence and operational procedures to ensure compliance with regulatory regimes. We also help safeguard your business, its bottom line, reputation and stakeholders against costly and possibly dangerous compliance breaches.

We offer a selection of tailored products, services and events such as our In-house Lawyer service, as well as our legal retainer service which is particularly relevant to this sector because of the ongoing need for due diligence. This coupled with the team’s technical know-how and proven track record in both contentious and strategic non-contentious approaches, means we are well placed to assist with any issues you may have.

Specialist Legal & Regulatory advice for professionals

If you would like to discuss a matter with our Professional and Regulatory team please call 0117 906 9400 or email

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