Regulatory & Disciplinary
We act in regulatory and disciplinary proceedings on behalf of financial institutions, corporates, and individual defendants in criminal regulatory and enforcement matters.
Members sit as panel members and chairs on disciplinary tribunals, and are appointed by professional bodies including the Professional Cricketers' Association and the League Managers' Association. We have also represented PLCs and other corporates in defending allegations of mis-selling.
Our regulatory work frequently carries an international dimension. Members have acted in the prosecution of a Hong Kong CIOT Fellow on allegations of multi-million dollar misappropriation from clients across Hong Kong, Singapore, and Australia.
Members also work with the Bar Council in designing and delivering training for the Bar on money laundering obligations arising from direct access instructions.
Representative cases
Close cases
ICAEW v F Tax (a firm)
Defending multiple breaches of the audit and accounting rules.
SRA v Candey (SDT)
Successful defence of a City law firm against an SRA complaint of misconduct for alleged breaches of the 2007 Money Laundering Regulations in respect of the receipt and onward payment of £24 million
Gaelic Athletic Association (GAA) v Neasden Gaels
Successful challenge to unfair disciplinary proceedings against the Defendant club, resulting in them being re-instated into the competition from which they had been disqualified. First ever sitting of a GAA body outside of Ireland. Instructed by Lewis Silkin
Law Society (SRA) v R, MF and others
Injunctive relief in the intervention of two connected law firms.
Riaz MSB Ltd v FCA
Successful defence of a Money Service Business and its directors against enforcement action by the FCA.
Representative cases
ICAEW v F Tax (a firm)
Defending multiple breaches of the audit and accounting rules.
Law Society (SRA) v R, MF and others
Injunctive relief in the intervention of two connected law firms.
SRA v Candey (SDT)
Successful defence of a City law firm against an SRA complaint of misconduct for alleged breaches of the 2007 Money Laundering Regulations in respect of the receipt and onward payment of £24 million
Riaz MSB Ltd v FCA
Successful defence of a Money Service Business and its directors against enforcement action by the FCA.
Gaelic Athletic Association (GAA) v Neasden Gaels
Successful challenge to unfair disciplinary proceedings against the Defendant club, resulting in them being re-instated into the competition from which they had been disqualified. First ever sitting of a GAA body outside of Ireland. Instructed by Lewis Silkin
Our Regulatory & Disciplinary Barristers
Contact Sam for more information about our Barristers.
Contact Sam for more information about our Barristers.
For a confidential conversation please contact Chief Executive and Director of Clerking, Sam Carter.
“The clerks always go above and beyond to assist. They understand the needs of instructing solicitors, particularly in identifying suitable counsel for cases”
Chambers & Partners
“A friendly and integrated service. The clerks systems and client handling are excellent - with a can-do attitude, enabling easier planning on my side.”
Legal 500
People / Barristers
Address
For a confidential conversation please contact Chief Executive and Director of Clerking, Sam Carter.
“The clerks always go above and beyond to assist. They understand the needs of instructing solicitors, particularly in identifying suitable counsel for cases”
Chambers & Partners
“A friendly and integrated service. The clerks systems and client handling are excellent - with a can-do attitude, enabling easier planning on my side.”
Legal 500
People / Barristers
Address
For a confidential conversation please contact Chief Executive and Director of Clerking, Sam Carter.
“The clerks always go above and beyond to assist. They understand the needs of instructing solicitors, particularly in identifying suitable counsel for cases”
Chambers & Partners
“A friendly and integrated service. The clerks systems and client handling are excellent - with a can-do attitude, enabling easier planning on my side.”
Legal 500
People / Barristers
Address