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Regulatory law
If you operate a business, you must understand the impact of regulatory requirements on it. Regulatory frameworks govern many areas of client’s businesses and there are often criminal sanctions for breaching these laws.
If a regulatory agency believes that offences have taken place, they have wide powers of investigation. They can conduct inspections, seize documents, compel suspects to answer questions, conduct interviews under caution, serve statutory notices, and take enforcement action, including prosecution.
Our regulatory solicitors can help you and your company through the process if you have to deal with an investigation or prosecution.
Regulatory responsibilities affect all companies, from startups through to international businesses. If you are not compliant with regulatory law, there is a genuine risk of your business being investigated, prosecuted and receiving a substantial fine if it is convicted. Directors and Officers can also be prosecuted and could be fined or even receive custodial sentences if convicted. It is vitally important to understand your legal obligations.
Our regulatory solicitors have considerable expertise and experience in dealing with regulatory investigations and regulatory enforcement for a range of clients across various sectors.
What is regulatory law?
Regulatory law refers to legal requirements that oblige businesses to operate in accordance with regulatory frameworks. Various regulatory authorities such as the Health and Safety Executive, Food Standards Agency and local authorities enforce these laws. These Government agencies have the legal power to investigate businesses and to take enforcement action, including commencing prosecutions against businesses and business owners for breaches of the regulatory laws.
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Regulatory investigations & prosecutions
The power of regulatory agencies also extends to criminal prosecutions against both businesses and individuals. In the last few years, we have seen a marked increase in directors and other employees being prosecuted for regulatory breaches.
Trying to navigate your business through the minefield of a regulatory investigation is complex. Regulatory agencies have a wide array of powers at their disposal, including the power to attend your premises, conduct inspections, seize documents, compel you to provide information, to serve statutory notices, conduct interviews under caution, and even prosecute
If you have never been through the process before, it can be very daunting and time-consuming and divert your attention from the day to day operation of your business. Regulators also have powers to investigate individual directors, senior managers and employees which is always a cause for great concern to those involved.
The process
If a regulatory agency has reason to suspect you or your business is in breach of regulatory laws, the usual process is that they will make initial inquiries and may commence a formal investigation. As part of the investigation, the regulator may also obtain documentation, obtain witness evidence, and can serve statutory notices on suspects that place legal obligations on recipients to comply with their requirements.
In time, they may write to the company at the registered business address and invite it to a PACE interview, which is an interview under caution.,.
If you are informed of any alleged breach by a regulator, it is advisable to seek urgent legal advice from a regulatory lawyer to protect your business.
Who do we help?
Our expert regulatory lawyers have an excellent track record of dealing with regulatory investigations and prosecutions brought by various regulatory authorities, including but not limited to the Health and Safety Executive, Food Standards Agency, Care Quality Commission, , Environment Agency, local authorities, Fire and Rescue Services, and the Police.
Any issues regarding regulations should be handled promptly. Regulatory agencies have a wide range of investigative powers. If you believe that you or your business are under investigation, you should not hesitate to contact our regulatory solicitors. They can provide clear practical, proactive advice and can help you deal with complex issues in a straightforward commercial way.
