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REGULATORY INVESTIGATIONS

We advise both organisations and individuals who are the subject of regulatory investigations, with a particular emphasis on SRA investigations into solicitors, legal professionals and law firms.

We advise on issues which commonly arise in such investigations, including the application of legal professional privilege, the obligation to co-operate with the regulator and respond to requests to attend interviews and/or produce documents, and in the negotiation of regulatory settlement agreements.

We also have experience in advising individuals and law firms who are either subject to or conducting internal investigations into alleged misconduct, as to whether and when an obligation to self-report the matter to the SRA has arisen under the relevant Codes of Conduct.

We have extensive experience in advising on allegations of sexual misconduct, harassment and bullying and have had recent instructions in relation to SRA investigations into these issues. We have a particular specialism in this area, having hosted a webinar on the sexual misconduct guidance and a webinar on the new rules relating to the treatment of colleagues and have written extensively about these issues in the legal and national press. 

We appreciate that regulatory investigations can be highly stressful, time-consuming and intrusive for both firms and individuals, and we take a calm, discrete and methodical approach to matters.

Our ability to provide regulatory advice enables us to take a multi-disciplinary approach to investigations that can occur in an employment and regulatory context, and complements the existing service we provide to our senior executive, partnership and LLP clients.

Both Andrew Pavlovic and Nick Leale have previous experience of acting for regulators and are able to harness that experience when advising firms and individuals.

Andrew Pavlovic is recognised both as ‘Up and Coming’ by Chambers and Partners UK 2025 and ‘Next Generation Partner by Legal 500 UK 2025 for Professional Discipline.  He is described as “excellent to deal with and is very knowledgeable” and “a calming influence on any case he works on”... providing “clear, thoughtful and commercially astute advice”. He is “a creative thinker who is persistent in getting the best result for his clients.”

Nick Leale is described by Legal 500 UK as “delivering… extensive knowledge in a thoughtful, measured manner that non-legal people can understand – he also fully considers the human factors played out within regulatory frameworks and reflects those considerations when advising those undertaking investigations.”

For more information or to discuss how we can assist if you are subject to a regulatory investigation, please contact Partners Andrew Pavlovic, Nick Leale, and Partner/General Counsel Beth Hale.

RECENT MATTERS

Examples of our team’s experience includes:

  • Advising law firm partners subject to SRA investigations in respect of allegations of sexual misconduct.  Both investigations closed with no further action;
  • Advising a law firm partner in relation to allegations of bullying and harassment.  Investigation closed with the SRA issuing our client with a letter of advice.
  • On-going advice to a number of law firms in relation to allegations of sexual misconduct made against partners/employees, including advice on self reporting and ongoing advice/support throughout the SRA’s investigation.
  • Advising a firm in relation to allegations of using the client account as a bank account.
  • Advising an individual in relation to a proposal by the SRA to place restrictions on his Practising Certificate pending the outcome of criminal proceedings.
  • Advising an individual in relation to an allegations that he failed to comply with his self reporting obligation.
  • Representing a veterinary surgeon accused of dishonesty and “disgraceful conduct” in a 3-day hearing before the Royal College of Veterinary Surgeons Disciplinary Committee.
  • Advising a partner at a large accountancy firm on his self-reporting obligations to the Institute of Chartered Accountants for England and Wales, following the commencement of a disciplinary investigation against him in respect of alleged sexual misconduct.
  • Advising an individual subject to an SRA investigation in relation to serious allegations, and negotiating a regulatory settlement agreement in which the detail of the allegations made against them were kept confidential in light of the individual’s medical condition.