Regulatory Defence Solicitors

Regulatory investigations can have serious professional, financial and reputational consequences. Whether you’re responding to the Financial Conduct Authority (FCA), a professional regulator or another enforcement body, early specialist advice can help you navigate the process with confidence.

Thompson Roderick provides discreet, solicitor-led representation from the earliest stages of an investigation through to its conclusion.

Available for urgent instructions.

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What is a Regulatory Investigation?

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Regulatory investigations are carried out by bodies responsible for overseeing professional conduct, financial services, anti-money laundering and other regulated activities. They can result in financial penalties, restrictions, disciplinary action or the loss of professional authorisation.

We advise on matters including:

– FCA investigations & enforcement
– Professional disciplinary proceedings
– AML compliance investigations
– Internal investigations
– Sanctions & export control matters
– Dawn raids & search warrants

Why instruct Thompson Roderick

Cross-disciplinary strength.
Regulatory matters often overlap with financial crime, tax and civil fraud.
Direct access.
You deal with the solicitor conducting your case throughout, not a rotating team.
Discretion.
Regulatory matters carry professional and reputational stakes that demand strict confidentiality.
Responsiveness.
Clear guidance when urgent regulatory action demands immediate decisions.
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What to Expect

You'll deal directly with the solicitor handling your case from beginning to end.

Your matter won't be passed between departments or delegated to junior members of the team. Every client receives direct access to experienced, senior-level legal advice delivered with discretion, strategic thinking and attention to detail.

Initial Discussion

A confidential conversation to understand your situation and immediate priorities.

Initial Consultation

An assessment of your position, risks and available options.

Case Strategy

A clear strategy tailored to the investigation and your objectives.

Ongoing Representation

Advice and representation throughout the investigation or proceedings.

Related Expertise

Access to wider specialist support where your matter crosses legal disciplines.

Facing a regulatory investigation?

Speak to a solicitor today.

Available for urgent instructions

FAQs

What’s the difference between a regulatory investigation and a criminal investigation?

Regulatory investigations are typically conducted by bodies like the FCA or a professional regulator, and can result in penalties, restrictions, or loss of authorisation – separate from, but sometimes running alongside, a criminal investigation into the same conduct.

Can regulatory and criminal proceedings happen at the same time?

Yes. It’s common for a regulator and a prosecuting authority to investigate the same facts in parallel, which raises particular issues around what’s said to one process being used by the other.

Do I need a solicitor at the early stages of a regulatory investigation, or only once formal action starts?

Early advice matters – the response given to an initial information request, or how an internal investigation is scoped, can materially affect the case that follows.

Will a regulatory investigation stay confidential?

Not always – regulators including the FCA generally publish Warning and Final Notices, so managing the process, and any public statement, is often as important as the underlying defence.

Which regulators do you advise clients on?

We advise individuals, professionals and businesses responding to investigations and enforcement action by a range of regulatory bodies, including the Financial Conduct Authority (FCA), professional regulators and organisations responsible for anti-money laundering (AML) and sanctions compliance.

What should I do if regulators arrive at my premises?

Remain calm and seek legal advice immediately. Whether you’re facing a regulatory inspection, search warrant or dawn raid, it’s important to understand your rights and obligations before responding. Thompson Roderick can provide urgent advice and representation from the earliest stage of an investigation.