Regulatory Defence
DPP Law are specialist defence solicitors providing expert representation in regulatory investigations and enforcement actions. We defend professionals, businesses, and directors facing scrutiny from bodies such as the FCA, SRA, GMC, and other regulatory authorities — protecting your career, reputation, and future.
What is a regulatory offence?
If you or your company fail to adhere to the rules set out by regulatory bodies such as the Health and Safety Executive (HSE), Trading Standards, the Food Standards Agency or the Environment Agency, you will be committing a regulatory offence and it’s highly likely that you will be investigated. As soon as you are made aware of any enquiries, you should seek the assistance of regulatory defence solicitors.
The expert regulatory defence solicitors at DPP Law are highly experienced in working with clients who have been made the subject of regulatory investigations.
If you have been accused of breaching industry regulations of any kind, we will provide you with all the advice and support you require to work with the regulatory body in question towards a satisfactory conclusion.
We will also help you to investigate your current procedures to understand the reasons behind any possible breach, and, at every stage of your case, our regulatory legal solicitors will assist you in building a strong defence. Finally, we can represent you or your business in a court of law should you face criminal prosecution.
Regulatory investigations are usually carried out if you or your company is found to have failed to adhere to particular legally enforceable directives. These regulations are usually applied and overseen by independent authorities such as Trading Standards or the Health and Safety Executive.
To avoid facing regulatory defence penalties, the best approach is to engage specialist regulatory law solicitors as soon as you learn of any investigation into your practices.
If you or your company is made the subject of regulatory investigations, it may be because you are suspected of breaching the following regulations:
- Trading standards, including copyright, trademark, trade description, weights and measures and consumer rights
- HSE (Health and Safety)
- HMO (House in Multiple Occupation)
- Food Hygiene
Possible regulatory defence penalties include hefty fines and a potential custodial sentence depending on the seriousness of the case and any prior convictions, so engaging the services of specialist regulatory legal solicitors is highly recommended in these circumstances.
Frequently Asked Questions
What is the penalty for failing to comply with regulations?
Regulatory defence penalties vary depending on the nature of the alleged breach. However, the possible maximum punishments include an unlimited fine and between 2 (for breaches of food hygiene or health and safety) and 14 (for breaches of Trading Standards) years’ imprisonment. Regulatory law solicitors may help you to see a more serious sentence commuted.
Why do regulations exist in business?
While they may seem restrictive on occasion, businesses are required to comply with regulation in order to maintain a safe environment for staff and customers, to protect employees’ rights, to prevent any negative impact on the environment and to introduce a basic standard to which all companies must adhere so that they can be monitored equally in terms of quality and ethics.
The potential outcomes of a regulatory investigation reach beyond civil or criminal penalties, as your reputation, and that of your company, is also at stake under these circumstances.
DPP Law’s regulatory defence solicitors understand the importance of rectifying matters of this kind as soon as they arise, and will work diligently and transparently with you and the regulatory body in question to ensure a just and positive outcome.
Get in touch with our regulatory defence solicitors today for further information.
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Related Services
- Tax Evasion
- Financial Conduct Authority (FCA) Investigations
- Property and Mortgage Fraud
- Outsourcing and Procurement Fraud
- Cyber Fraud
- Corporate Fraud
- Credit Card Fraud
- Pensions Fraud
- Banking Fraud
- Insurance Fraud
- Financial Crime & Fraud
- Bribery & Corruption
- Regulatory Defence
- Trading Standards Prosecutions
- Health & Safety Prosecutions
- Communications Act Offences
- Corporate Manslaughter
FAQs
Regulatory investigations can be launched by bodies such as the FCA, HMRC, the SRA, the ICO, Trading Standards, the Health and Safety Executive, and other professional or industry regulators, depending on the sector involved.
Investigations can be triggered by complaints, whistleblowing reports, audit findings, compliance failures, suspicious activity, or warnings from other authorities. Regulators may also act on routine inspections or intelligence received from third parties.
Yes. Regulators can investigate both organisations and the individuals responsible for decisions, compliance, or oversight. Directors, managers, and employees may all face separate scrutiny or enforcement action.
Regulatory cases often involve complex rules, large volumes of documents, and serious commercial or professional consequences. A specialist solicitor can protect your rights, manage communications with the regulator, challenge allegations, and help minimise penalties or reputational damage.