Regulatory law

Our regulatory lawyers 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 rules enforced by regulatory agencies to whom Parliament has delegated authority. Its intended purpose is to improve conduct and standards in a wide variety of areas. Businesses are obliged to operate in accordance with many of these regulatory frameworks. 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 serve enforcement notices, investigate businesses and to take enforcement action, including commencing prosecutions against businesses and business owners for breaches of regulatory laws.

Regulatory law examples

There are many different types of regulation. Some regulations relate to specific industries, for example building regulations, others affect all kinds of businesses and activities, such as health and safety laws, food hygiene rules, trading standards, and environmental protection.

What do regulatory lawyers do?

Our specialist regulatory lawyers provide advice and representation to clients who are the subject of investigations and prosecutions by regulators.

Regulatory investigations & prosecutions

Regulatory agencies have the power to inspect and investigate all activities within their remit. Their powers also extend 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.

Regulatory defence

Trying to navigate through the minefield of a regulatory investigation is complex. Regulatory agencies have a wide array of powers at their disposal, including the power to visit business premises, conduct inspections, seize documents, compel the production of information and documentation, to serve statutory notices, conduct interviews under caution, and even prosecute.

If you have never been through such a 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. Our experienced regulatory defence lawyers provide advice and assistance at all stages of investigations and prosecutions.

The process for regulatory enforcement

Each type of regulatory agency follows a specific process of enforcement that will normally be based on a documented enforcement policy. If a regulatory agency has reason to suspect that 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 demand documentation, obtain witness evidence, and can serve statutory notices on suspects that place legal obligations on recipients to comply with their requirements.

Many regulatory breaches are ultimately dealt with by the criminal courts. Those who investigate these breaches have certain powers that are similar to police officers. Is includes questioning relevant people under the Police and Criminal Evidence Act 1984, known as PACE interviews, which are interviews under caution.

If a regulator informs you of any alleged breach, it is advisable to seek urgent legal advice from a regulatory lawyer to protect your business.

Fines for regulatory breach

Fines are the most common penalty for regulatory breaches committed by companies. In assessing the amount of a fine courts are assisted in some regulatory disciplines by specific sentencing guidelines. In such cases, consideration is given to the level of culpability and the harm, or risk of harm, caused. The turnover of the offending business, and other aggravating or mitigating factors are also taken into account. The maximum fine for many regulatory breaches is now unlimited, and significant fines are extremely common.

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.