New York street with bridge in the background

> Experience > Our practices > White collar defense and investigations > Professional discipline and regulatory

Professional discipline and regulatory lawyers

If you are facing potential disciplinary or legal action, we offer swift and effective support to both individuals and organizations. Whether you're involved in an investigation or proceedings, or conducting inquiries into suspected wrongdoing - we can help. 

Regulatory investigation and/or disciplinary proceedings can have serious implications for your business or your career.

If you are an individual facing disciplinary or legal action or you manage a business that has uncovered potentially inappropriate activity, we can provide swift and effective support. Our team of disciplinary action solicitors will advise you on how to handle the investigation and proceedings and devise the best strategy to mitigate their wider impact on your life. From there, we can arrange for a disciplinary action lawyer to support you.

In the UK, we advise on investigations and proceedings carried out by a wide range of authorities, including Parliamentary Select Committees, the Financial Conduct Authority (FCA), The Prudential Regulation Authority (PRA), the Serious Fraud Office (SFO), the Financial Reporting Council (FRC), the National Crime Agency (NCA), Care Quality Commission (CQC) and the Health and Safety Executive (HSE). 
 

And we have significant experience in representing directors in disqualification proceedings brought under the Company Directors Disqualification Act. As an international disciplinary action law firm, we also deal with proceedings and requests for assistance by overseas regulators and enforcement agencies.

For business owners and directors, instructing internal investigation lawyers is a vital first step so that communications between you and your disciplinary action solicitors become privileged and non-disclosable. It is also an important signal to staff, customers, investors and the authorities themselves that you take risk management and your regulatory obligations seriously. We are often asked to conduct these investigations, establishing key facts as quickly as possible.

With our experience of running investigations and expertise in disciplinary action law, we are also able to assist witnesses who are asked to provide evidence to internal and external investigations and inquiries.

Our team

Carl Newman

Carl Newman

Partner | London

Carl Newman

Partner | London

White collar defense and investigations

Harvey Knight

Harvey Knight

Partner | London

Harvey Knight

Partner | London

Litigation

Shashi Nathan

Shashi Nathan

Partner | Singapore

Shashi Nathan

Partner | Singapore

White collar defense and investigations

Amarjit Kaur

Amarjit Kaur

Partner | Singapore

Amarjit Kaur

Partner | Singapore

Litigation and arbitration

Christopher N. LaVigne

Christopher N. LaVigne

Partner | New York

Christopher N. LaVigne

Partner | New York

Litigation and arbitration

Natalie Sherborn

Natalie Sherborn

Partner | London

Natalie Sherborn

Partner | London

White collar defence and investigations

Martin J. Auerbach

Martin J. Auerbach

Of Counsel | New York

Martin J. Auerbach

Of Counsel | New York

Litigation and arbitration

Insight

Join the club

We have lots more news and information that you'll find informative and useful. Let us know what you're interested in and we'll keep you up to date on the issues that matter to you.

Sign up here

Typical clients and industries include

Business man looking up at the New York Stock Exchange

Financial services

Our lawyers have a wealth of experience navigating complex global financial markets. We help clients secure their finances and futureproof their businesses. Find Out More
Microphone in front of audience of people

Leaders and senior executives

We help business leaders to manage their responsibilities at work and home – from advising on employment contracts and regulatory matters, to dealing with tax, wills and prenuptial agreements. Find Out More
Professional advisors explaining something on laptop

Professional advisors

We can help you to provide the robust and reliable service that your clients expect. We’ll also be in your corner for personal matters and protecting your interests if professional issues arise. Find Out More

How else can we help?


We offer a full range of services to individuals and businesses.  Find out how we can help you solve challenges and maximize opportunities.

Find out more

Get in touch

Our website will give you a flavour of the advice we provide - if you would like to talk to us for more information, please contact our client services team who will be happy to assist.

Get in touch