Regulatory Investigations
Business regulation is ever-increasing, particularly in sectors like finance and health and safety.
For businesses to thrive, they need rapid, expert regulatory compliance advice to prevent breaches and robust representation if a breach occurs.
Our Business and Regulatory Solicitors are specialists in their fields, bringing a wealth of experience across nearly every market sector. Not only are we well-versed with the regulators and their processes, but we are also adept at handling matters on your behalf, allowing you to focus on your business growth.
Based in our Nuneaton city centre offices, we are a diverse, multi-lingual law firm using top-tier technology to provide clients with streamlined, modern, and highly effective legal support during regulatory investigations.
Our Criminal Solicitors in Nuneaton and Warwickshire have successfully advised and represented clients in regulatory investigations launched by the SFO, FCA, Trading Standards Authority, HSE, Food Standards Agency, Environment Agency, HMRC, ICO, local authorities, and more. Our solicitors have extensive experience in criminal law, earning a reputation for excellence with the UK’s leading Barristers and King’s Counsel. Our clients also benefit from our ability to engage the country’s most respected expert witnesses.
When do I need a Solicitor if I am being investigated by a regulatory body?
The most significant mistake organisations make when facing a regulatory investigation is delaying seeking legal advice. Early requests for information from regulators can escalate into full-blown investigations and prosecutions. Our role is to provide you and your Board with the guidance needed to prevent or swiftly conclude an investigation. We achieve this by engaging with key stakeholders to understand your business culture and practices, as well as the norms of your market sector. This enables us to build a defence that considers the commercial realities of your industry. We can also provide airtight advice if you are called to an interview under caution and ensure legal professional privilege is maintained throughout the investigation.
Our team has advised businesses ranging from SMEs to large corporations with cross-border issues. You can rely on our process, knowledge, and commercial acumen. Whether it’s a health and safety incident, an alleged trading standards breach, or a dawn raid, we will support you promptly, verifying the investigators’ actions, advising your staff, documenting the investigators’ activities, and conducting our own investigation to either end the inquiry quickly or build a robust defence if prosecution follows.
What is an ‘interview under caution’?
During a regulatory investigation, you might be asked to attend an interview under caution. It is crucial to have one of our team present during such interviews. Investigators only request interviews under caution when they have reasonable evidence to consider prosecution.
An interview under caution aims to gather evidence through questioning. The interview is recorded, and your statements can be used in a criminal trial. In some cases, your silence may also be used as evidence against you. Without legal representation, you and your business are at significant risk. Regulatory investigators are skilled at eliciting information that can build a case against you. Our Regulatory Solicitors understand their objectives and the legal constraints they must operate within. With us by your side, you can be assured that your interests will be fully protected.
Why Choose Us?
We have a comprehensive Criminal Defence Department with the expertise to quickly shut down investigations or defend prosecutions effectively. Our Solicitors are intelligent, trustworthy, and results-oriented, with the knowledge and connections to support your in-house legal team and senior management.
As a full-service law firm, we add value to your business by advising on how to prevent regulatory breaches. Our team can develop compliance strategies that balance the regulator’s objectives with commercial reality. We aim to work with you long-term, gaining an in-depth understanding of your business and sector. Using this knowledge, we will advise on risk assessments, ensure your contracts comply with UK and international laws, and provide emergency response support for health and safety incidents or dawn raids.
Cocks Lloyd Solicitors provides exceptional Regulatory Investigations and Business Crime & Regulatory Investigation services to clients. People choose and recommend us not just in Nuneaton, Tamworth, Atherstone, Hinckley and Leicester, but across Warwickshire, Staffordshire, Leicestershire and the West Midlands, and the whole of the UK, because we get results.
To receive expert advice and representation regarding Regulatory Investigations and Business Crime & Regulatory Investigation, please contact us using the form below, call us on (0247) 6641642, email via the Request a Callback form on this contact page.