Regulatory & Compliance

Our regulatory and compliance lawyers can advise you or your business on a wide range of UK and EU regulatory issues, including regulatory investigations and prosecution.

If you’re in a regulated industry or sector, it’s vital to understand the regulations that affect your business. We can guide you through your regulatory requirements and help you stay compliant with practical, sector-specific advice.

We’ll explain which areas of your business are regulated and by which authorities. We’ll also help you anticipate potential regulatory issues in the future and plan ahead to overcome them as effectively as possible.

If you’re under investigation or facing disciplinary action, we can give you discreet and professional support to limit the damage to your professional and personal life. We’re not just expert advisers, but also defend businesses and individuals in court. This first-hand experience with the regulators and their strategies means you get the very best defence from the start.

What Regulatory & Compliance Services Do We Offer?

Our solicitors can advise you on complying with professional or industry regulations, and defend you and your reputation if you face regulatory investigation.

We’ll help you:

  • Understand what regulations affect you, and how
  • Gauge which of your services and employees are regulated and which are exempt
  • Develop compliant policies and procedures
  • Stay up-to-date with regulatory changes
  • Report the right information to your regulators
  • Audit your business for existing compliance issues
  • Draft compliant contracts
  • Invest in a regulated business
  • Merge with or acquire regulated businesses
  • Get authorisation to begin regulated activities or provide regulated services
  • Establish and run a fully compliant investment fund
  • Comply with information requests
  • Prepare for and handle interviews with your regulator
  • Manage regulatory investigations and fitness to practice hearings.

You can work with us on a single issue or we can provide complete insight into all your or your business’s regulatory obligations.

It’s important to address regulatory issues as quickly as possible and ideally head them off in advance. We’ll help you anticipate problems and give you a pragmatic plan to resolve them in line with your business’s goals and interests.

Who Can We Help?

We’re experienced with all business sectors and all major regulators. Our lawyers work in key locations around the UK and can help wherever you or your business is based.

We also advise international businesses on UK regulatory issues.

As part of one of the UK’s largest full-service law firms, we have the resources and flexibility to help businesses of all shapes and sizes, including:

  • Investment funds and fund managers
  • Family offices and other investment vehicles
  • Owner-managed businesses
  • Small and medium-sized businesses
  • Education sector bodies
  • Charities
  • Housing sector businesses
  • PLCs
  • Banks and other institutions
  • Blue chip companies.

We also advise and represent regulated professionals such as:

  • Solicitors and barristers
  • Accountants
  • Financial advisers, investment managers, and other FCA approved persons
  • Senior executives, senior managers, and directors of financial services businesses
  • Healthcare professionals.

Even if you aren’t regulated yourself, contracts or deals you have with regulated businesses might be affected.

Complying with a regulator can be difficult in these situations if you aren’t as experienced with their standards. We can advise your business on whether any new or existing deals are affected, and advise on how to stay compliant.

Which Regulators Can You Help With?

We help people and businesses who are regulated by all major industry regulators, including:

  • Financial Conduct Authority (FCA)
  • Solicitors Regulation Authority (SRA)
  • Bar Standards Board (BSB)
  • General Medical Council (GMC)
  • Nursing and Midwifery (NMC)
  • Health and Care Professions Council (HPCP)
  • General Pharmaceutical Council (GPhc)
  • Association of Chartered Certified Accountants (ACCA)
  • Regulator of Social Housing
  • Health and Safety Executive.

Even if you aren’t regulated yourself, contracts or deals you have with other businesses might be overseen by one of these regulators. Staying compliant in these situations can be difficult when you aren’t experienced with a particular regulator and their standards.

We can advise your business on whether any new or existing deals are affected, and advise on how to stay compliant.

Why Choose Our Regulatory & Compliance Lawyers?

When you’re running your business, the last thing you need is to be disrupted by stressful and damaging regulatory investigations. We can use our decades of experience to help you identify possible risks early and put policies in place to mitigate them.

You’ll get a clear plan with a concrete timeline and transparent costs so you always know exactly where you stand. We work hard to make everything as easy as possible so you and your team has more time to drive your business forward.

If an investigation is looming or is already underway, contact us as soon as possible. You can rely on us to fight to clear your name while acting with total discretion and confidentiality.

We’re not just a team of solicitors but also advocates who defend regulatory and compliance matters in court. We have a wealth of experience in cross-examining witnesses, challenging case theories and making speeches to judges and panels.

This experience gives us real insight into regulators’ strategies and decision-making processes – insight that your business can benefit from whatever regulatory or compliance advice you need.

Contact Us

It’s important to handle regulatory issues as early as possible - contact our solicitors today to find out more about how we can help. Call 0114 274 4275 or contact us online and we’ll call back at a time convenient for you.

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Case Study – Company Takeover

We helped a well-known health insurance company take over a small competitor. Both companies are regulated by the Prudential Regulation Authority (PRA), so we advised on how to structure the deal in line with these regulations.

The competitor’s corporate structure included an unlimited company, which made complying with PRA regulations more complicated. Our solicitors quickly developed novel solutions to make compliance convenient and practical for our client.

We all feel the impact of industry regulation on business as normal, but it also has a significant impact on structural changes like acquisitions and mergers.

It’s important to account for regulatory issues early and head off any potential issues that could impact your deal. With our help, our client was able to manage unexpected complications and successfully complete their acquisition.”

Awards & Accreditation

We’re proud of the recognition we’ve received for our business legal work. For a list of awards and accreditations, please visit our awards page.

Chambers & Partners 2020 logo

Business News

Our lawyers are regularly asked to provide expert insight, advice and analysis for the national media. Take a look at the stories below to see what we’re saying, as well as some of the recent deals we have completed for our clients here in the UK and abroad.

Testimonials & Client Feedback

We truly value the feedback we receive from both our clients and legal accreditation societies, such as The Legal 500 and Chambers & Partners.

Chambers & Partners UK Top Ranked Firm 2022

"Expertise advising clients on compliance with Europe-wide regulatory changes such as GDPR."

Chambers & Partners, 2022
Legal 500 UK Leading Firm 2022

"Depth of experience. IM have worked on many of the major fraud, financial services, cartel and money laundering cases and done so to an exceptionally high standard."

Legal 500, 2022
Legal 500 UK Leading Firm 2022

"A dynamic team with a broad skillset, particularly when assisting those that are the subject of regulatory investigation."

Legal 500, 2022

Find one of our solicitors near you

We have offices in major cities throughout the UK and our lawyers can arrange to visit you or your business in person if necessary. We also have international capability, with global links to other legal specialists.