T&A Solicitors

Professional Discipline and
Regulatory Investigations

An investigation by your own regulator is not like being sued. Your livelihood, your professional standing and your ability to earn are all in question at once, and it starts long before anyone tells you how serious it is. Most people receive a letter asking them to explain something, with a deadline attached, and answer it the same week on their own.

Who We Act For

We act for professionals and firms facing investigation and disciplinary proceedings. We are solicitors ourselves and we are regulated to the same standards, so we understand the process from both sides of it.

Doctors, nurses, midwives, dentists, pharmacists, social workers and other healthcare professionals facing fitness to practise investigations.

Solicitors, barristers and CILEX practitioners, together with the firms and compliance officers responsible for them.

Professionals in other regulated occupations, including those facing action by the Financial Conduct Authority.

How We Can Help

Responding to the First Letter

The initial response is usually the only document the decision maker will read in your own words, and it shapes everything that follows. We help you answer it properly, engaging with the concern rather than defending against it.

Self Reporting

Most regulated professionals have a duty to report certain matters about themselves. Whether the duty is triggered, and how a report should be framed, is a judgement worth taking advice on before it is made.

Interim Restrictions

Regulators can restrict or suspend your practice while a case is investigated, often at short notice and before any finding is made. These hearings move quickly, and a well prepared alternative proposal frequently makes the difference.

Closing Cases Early

Written representations at the investigation stage close cases that would otherwise run for years. This is where the work pays for itself.

Insight and Remediation

Where the facts are not really in dispute, the outcome usually turns on what you understand and what you have done about it. That evidence takes months to assemble properly.

Hearings and Appeals

Representation before disciplinary tribunals and fitness to practise panels, and advice on appeals against findings and sanctions.

Parallel Proceeding

Employer disciplinary processes, grievances, employment tribunal claims, police investigations, inquests and negligence claims often run on the same facts. What is said in one is read in the others, so we handle them together.

Why choose T&A Solicitors?

We take a view early about what the case is actually about. In most matters a single issue decides the outcome, and cases are lost by being fought hard on the wrong one.

We are also straight with clients about what is achievable. Some cases can be closed at the investigation stage. Some are better resolved by agreement. Some have to be fought. You will get our assessment of which yours is, and the reasoning behind it, rather than reassurance.

Our regulatory practice covers both professional discipline and financial services regulation, so where a matter involves the FCA as well as a professional body, it is handled by the same team. We advise in English and French.

Straight Talking

We explain the law in plain English and give honest, realistic advice, even when it is not what you hoped to hear.

Two Legal Worlds, One Firm

Qualified to advise on English common law and French civil law matters, with a French-speaking service.

Transparent on Cost

Clear estimates from the outset and fixed fees wherever possible. See our Pricing page.

Regulated and Insured

Authorised and regulated by the Solicitors Regulation Authority (SRA No. 8003985).

Our Approach

Financial regulation is constantly evolving. We take a proactive approach by providing practical legal advice, clear regulatory guidance, and strategic support tailored to your business. Our aim is to help you manage regulatory risk, maintain compliance, and respond confidently to regulatory challenges.

1. Practical Legal Advice

We provide straightforward advice that helps you make informed decisions from the outset.

2. Strategic Representation

Every case is managed with a clear legal strategy focused on achieving the best possible result.

3. Clear Communication

You’ll receive regular updates and honest advice throughout your case.

4. Protecting Your Interests

Whether negotiating a settlement or representing you in court, your objectives remain our priority.

FAQs

I have had a letter from my regulator. Should I reply before taking advice?

Speak to someone first. There is usually more time than the letter suggests and extensions are commonly granted. The response is the most important document in the case, and a reply written quickly and alone is difficult to undo later.

Will this become public?

It depends on the stage and the regulator. Cases closed at the investigation stage are generally not published. Tribunal and panel hearings are usually held in public, and decisions are published and findable afterwards. That is one of the reasons the early stages matter so much.

Can I keep working while the investigation continues?

Usually yes. Most regulators can impose interim restrictions or a suspension where they consider the public needs protecting, but they have to justify it, and there is often a workable alternative that allows you to continue practising under conditions or supervision.

How long will it take?

Straightforward matters can conclude within a year. Contested cases regularly take two to three years. The strain of that is a real feature of these matters, and we try to manage the pace as well as the outcome.

Does my insurance or membership body cover representation?

Often it does. Professional indemnity policies, defence organisations and trade unions frequently fund representation in regulatory matters, and it is worth checking at the outset. We are happy to deal with your insurer or defence body directly.

I have already replied to my regulator and I am worried about what I said.

That is a common position and it is usually retrievable. Come and talk to us. It is always better to know where you stand.

What will it cost?

We discuss fees at the first meeting and confirm them in writing. Depending on the matter we can act on hourly rates or on fixed fees for defined stages, such as drafting the response to an initial request for an explanation.

Talk to us today

If you have received a letter from your regulator, the time to take advice is before you reply to it. Contact us for a confidential discussion.