Regulatory investigations can be highly disruptive for both individuals and businesses and may lead to costly penalties, reputational damage, or criminal prosecution. Our regulatory lawyers can represent, advise and defend you during investigations and help you mitigate the impact of investigation for you and your organisation.

Most professionals and businesses in the UK are subject to at least one regulator, and often several. It’s vital to get legal support from solicitors who understand the right regulations and know how your specific regulators operate.

We’re highly experienced at representing clients regulated by all major UK regulators - the Financial Conduct Authority, the Environment Agency, Trading Standards, and more.

We can give you the peace of mind that you’re prepared for any regulatory investigations and that you’ve complied with all your obligations. With the right support, you can reduce the risk of investigations happening and mitigate the disruption they cause if they do. 

If an investigation does take place, we can help you understand how best to co-operate with the regulator to protect yourself and your business. We’ll help you prepare for interviews and explain what information your regulator can and can’t demand. We can represent you in communications and meetings with the regulator and work towards persuading them not to take action. 

If a regulator does take action against you, you can rely on us for building a strong defence. We also have experience in representing and defending clients facing criminal prosecution after a regulatory investigation. 

Whether we’re guiding you through an active investigation, or preventing one taking place at all, you can trust us to look out for your best interests. Regulatory investigations are often highly publicised and can cause significant reputational and financial damage to you and your business. We’ll help to minimise and mitigate this damage. 

We’re always flexible and transparent with our fees and costs, which we keep as low as possible. We’ll discuss the likely costs of your case with you at the outset and keep you updated regularly throughout the case.

You may be able to fund our work through an insurance policy or legal aid. We’ll advise whether or not these are options for you.

Contact our regulatory investigations lawyers today to find out more. We know that regulatory issues are often urgent, so you can also call us 24 hours a day, seven days a week on 0808 291 3945.

Which regulatory investigations do we help with?

Our specialist regulatory investigations team has a wealth of experience in advising and representing clients for both non-contentious and contentious issues. We often deal with regulators such as:

Regulatory investigations can involve criminal proceedings as well. As part of a full-service law firm, our regulatory specialists and criminal defence lawyers work together to give you cohesive advice, whatever the outcome.

Our regulatory solicitors practice across crime and regulatory matters and can deal with cases that involve both civil and criminal enforcement regimes. You’ll also be able to work with dedicated employment, corporate, and commercial litigation lawyers for any additional issues that arise from your investigation.

What happens during a regulatory investigation?

Regulatory agencies have the power to investigate and gather evidence against individuals and corporates. This may involve forcing you or your business to provide relevant information or attend an interview.

The regulator will then decide whether to pursue a case against you. If they do, you’ll likely face one of a range of penalties, depending on the severity of the allegations. Many regulators can impose both civil and criminal penalties after an investigation, such as:

  • Fines.
  • Suspending or prohibiting you from a regulated activity or professions.
  • Restricting your ability to undertake a regulated activity or profession.
  • Imposing orders on you to compensate affected clients or customers.

Some regulators like the HSE, EA, Trading Standards, NCA and FCA can also prosecute you for criminal offences.

Who do we help?

We advise and represent a wide variety of individuals, organisations, companies and corporates across a full spectrum of regulatory issues. Individuals we’ve helped include company directors, FCA Approved Persons, and professionals such as accountants, solicitors, and doctors.

We can help you or your organisation on either a reactive or proactive basis. If you’re already facing investigation, we can support you through the process. But we can also help you plan ahead to mitigate the risk of future regulatory investigation.

Whatever stage you’re at, we can help minimize the commercial disruption, reputational damage, and financial impact of an investigation.

I’m at risk of investigation – what should I do?

If you or your business face a regulatory investigation, it is important to instruct the right specialist lawyers. Each regulatory body is different and you want lawyers with experience in representing clients against the right regulator.

You should do this as soon as possible and before you engage with the regulator.  We’ll advise on the scope of the investigation, the regulator’s powers, and the potential outcomes for you and your business before you make any decisions.

Our expert regulatory solicitors will advise you on how to cooperate with the regulator to give your position the best possible protection. We can represent you throughout an investigation or prosecution, help you gather evidence and prepare your defence.

Call 0808 291 3945 or contact us online to get started.


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

Awards & Accreditations

We're always proud to be recognised for the work we do for our clients and have been named as a leading firm in the latest legal guides - which provide information and recommendations about lawyers and law firms in the UK.

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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.

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