Regulatory Compliance Disputes

Regulatory raids often happen at the crack of dawn, whether the investigation is by the Police, HMRC, the Environment Agency, the Financial Conduct Authority or other agency.  NDP’s Solicitors have represented clients who have received raids from all of these regulatory bodies. The raid will often be targeted against multiple premises to include the matrimonial home, your business and your Accountant’s premises. Your computers, books and records and personal effects (and those of your family members) may be removed. That will inevitably impede your ability to trade.  It may cause your business to fail. NDP are well used to dealing with the investigators, advising you as to your options and advising the raided Accountant as to his obligations. Seek advice from our experts early if you or your advisers suspect that a regulatory problem is approaching. It is vital that you and your business take steps quickly, before there is a regulatory intervention into you and your business, so that you can better meet the challenges that will be faced. There are important steps to take now, in conjunction with your Accountants and other advisers. Click here for more information.

The NDP Team are well used to representing and advising clients in formal interviews whether or not under caution.  The best advice from NDP’s Solicitors at this point, often determines whether or not a case will be pursued against you or your business. Click here for more information.

Whether the investigation is looking at Money Laundering, Bribery and Corruption, Carousel fraud, Missing Trader fraud (MTIC Fraud) or Confiscation proceedings (or anything to do with misfeance claims), NDP’s Solicitors are well used to advising. The Fraud Act 2006 was brought in to make it easier to prosecute fraudulent conduct.  The Serious Fraud Office (‘SFO’) and Crown Prosecution Service (‘CPS’) routinely bring prosecutions using the Fraud Act, across many sectors. NDP’s experienced Solicitors regularly advise on:

• Responding to dawn raids.

• Negotiations with prosecuting authorities.

• Challenging search warrants and restraint orders.

• Complex cases, often with the assistance of other trusted professionals, including experienced Regulatory Barristers and Forensic Accountants.

• Cases involving mortgage fraud, investment fraud, allegations of dishonesty and related issues such as fraudulent trading and false accounting.

Click here for more information.

HMRC action may (for example) involve:

• Personal financial claims against a director, arising out of a failed limited company business.

• A raid on your home, your business or your professional advisors.

• Bankruptcy or Winding-Up proceeding often based upon assessed debts raised by HMRC.

• Criminal investigation into your personal conduct and that of your business.   That may involve applications by HMRC for a Provisional Liquidator to be appointed to your business or a Restraint Order, that may prevent you and your business dealing with your assets.

We are well used to advising and representing clients in these situations. Click here for more information.

Money laundering is defined as the process by which the proceeds of crime are dealt with in such a way so as the proceeds appear to come from a legitimate source. The introduction of the Proceeds of Crime Act 2002 (‘POCA’) broadened the definition of money laundering to encompass the proceeds of any criminal conduct and as such money laundering could arise from, for example, a small profit made from a minor tax evasion or regulatory breach. As a result companies and individuals may have greater exposure to the risk of prosecution for offences arising out of suspicious financial activity. In essence people dealing with the proceeds of criminal activity, that may have occurred anywhere in the world, risk prosecution and severe sentences if they knew or should reasonably have suspected that money or assets they were dealing with represented the proceeds of crime. NDP’s solicitors regularly advise in the field of fraud and white collar crime and have represented clients including companies, professionals, senior business executives and other individuals in numerous money laundering cases. They advise on and can assist with:

• Responding to money laundering investigations.

• Preparing detailed and strategic defences.

• The Regulatory Interview process.

• Challenging cash forfeitures.

Click here for more information.

As the director of a company you may not be aware of the duties that you have not only to the company, but also to the general public. This includes the extent of your personal liability and possible criminal sanctions which may be imposed on company directors.  We can advise and do represent  individual directors facing disqualification proceedings for improper conduct of a company’s affairs (including assisting with explaining a directors responsibility in insolvency). We can provide expert legal advice based on your particular circumstances, and our Solicitors are highly experienced in dealing with company director and senior executive issues. Click here for more information.

We are well used to dealings with Companies Act Investigators from the Department of Business (‘DBERR’), who often descend on your business without notice or warning, demanding and removing information and documents.

• Such investigations are triggered if there has been a complaint of corporate abuse, serious misconduct, fraud or general sharp practices and where:

• The target is a limited company or limited liability partnership (LLP).

• The target has a business address or addresses in England, Wales, Scotland or Northern Ireland; and

• The business is actively trading, or has ceased trading without going into formal insolvency proceedings.

Click here for more information.

We specialise in advising and representing individuals and companies to ensure that they work within the complex Environment Laws, including Registration and Permitting. Companies which breach Environmental Regulations may find themselves subject to investigation by a Local Authority or the Environment Agency. Upon conclusion of their investigation a determination will be made as to what, if any, enforcement action should be taken against the company or individual; including a decision on whether to prosecute. Our recent Environment Agency Investigation cases have included representing a company and an individual in relation to a raid by the Environment Agency on multiple sites, arising out of an allegation of nationwide waste dumping. Our Regulatory Law Solicitors advise clients through every stage of environmental investigations and prosecutions, including interviews, disclosure and representation at Court. We can work with your insurers or can agree fixed stage fees and affordable payment plans.Click here for more information.

An investigation by the Health & Safety Executive (‘HSE’) into workplace accidents can be intrusive and disruptive to your business. Our Health & Safety Lawyers have commercial sense and specialist knowledge which will ensure that the right decisions are taken by you at each stage of an investigation. At the conclusion of an investigation, the HSE will determine whether enforcement action should be brought. The range of enforcement actions open to the HSE includes:

• Serving prohibition/enforcement notices on duty holders

• Withdrawing approvals

• Varying licences, conditions or exemptions and issuing cautions

• Prosecution

• Providing information or advice.

Even if no enforcement action is brought the HSE may have found a material breach for which they can send you an invoice for the cost of investigating. Our Health & Safety Lawyers can advise you and, if appropriate, appeal those costs for you.

A proactive approach form the start of an investigation can reduce the risk of enforcement being taken. In the event of an investigation we are experienced in representing clients through negotiations with the HSE, interviews, disclosure and at Court.

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NDP provides affordable legal advice to guide individuals and practices through the complexities of a regulatory investigation or discipline from beginning to end, including:

• Preparation of your initial response to any notification of complaint

• Advising and representing you in urgent interim order proceedings

• Responding to findings of a regulator’s investigation and assisting you in preparing the appropriate response

• Preparing for a substantive disciplinary hearing

• Considering and advising you on any appropriate challenges throughout the regulatory proceedings

• Liaising with your regulatory body on your behalf throughout the disciplinary process

• Providing you throughout with forward-looking, strategic advice.

These services can be agreed at fixed rate or staged payment plans to make it affordable from beginning to end. In some cases you may benefit from an insurance policy which we can review and action for you.

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A disciplinary complaint brought by your regulatory body is a daunting prospect for a professional. Your professionalism is called into question and your right to practise and earn a living may be at risk. Our team of Professional Discipline & Regulation Solicitors are experts in Professional Conduct Proceedings; let us do our job for you so you can continue with yours. Click here for more information.

For individuals and businesses a Licence to drive or operate vehicles can be crucial to earning a living or making a profit. Faced with a Traffic Commissioner’s investigation or enquiry it can be a confusing and complex experience significantly impact your ability to earn a living or making a profit.  Appearance before the Traffic Commissioner can have serious implications for the ill prepared. Those who are legally represented usually do better than those who represent themselves. Our aim is to guide you throughout so as to achieve the best possible outcome and keep you in business. Those who are legally represented usually do better than those who represent themselves. At NDP, our lawyers can represent you before the Traffic Commissioner. The following are examples for concern and are common causes for Traffic Commissioner inquiries. If you feel that you may be affected by any of the above, we strongly recommend that you seek professional legal advice at the earliest available opportunity. Reasons for concern include:

• Recent unsatisfactory Maintenance or Tachograph investigation – were problems found?

• Have you had an outstanding application lodged for a long time?

• Have you recently been prosecuted?

• Have you had a recent environmental complaint?

• Have you received complaints from local residents regarding your application?

• Have you received complaints from local residents regarding your operation?

• Have you had a recent Health & Safety complaint?

• Have you any unresolved issues with HM Revenue & Customs?

• Have you recently declared yourself insolvent?

• Have you recently entered into administration?

Click here for more information.