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Regulatory Compliance Disputes
Areas in which we can help your Regulatory Disputes and problems
The NDP Team is headed by David Hanman, a Solicitor with an excellent professional reputation and over 25 years experience of defending clients faced with regulatory problems. David lectures regularly to the Police and special interest groups such as Accountants on regulatory issues.
In January 2016 we reported on a regulatory compliance dispute, where we advised and supported a client who was facing a criminal investigation by the Secretary of State for Business. Our client was highly stressed and believed he was heading at best for a large fine and at worst for a jail term. We are delighted to report that the criminal investigation has now been concluded with no charges being brought against our client. This article revisits the case and how we were able to help.
We have a strong track record in delivering the results that our clients want and need in order to avoid commercial litigation as far as possible. This testimonial is from a client for whom our commercial litigation specialists negotiated a £71,000 reduction in a demand from his previous solicitors who had represented him in a difficult and stressful divorce case.
Finalists for Small Law Firm of the Year, 2019
We have been shortlisted for the Birmingham Law Society’s prestigious Law Firm of the Year Award for 2019 (up to 5 partners).
This is our 4th short-listing, all in a row, for the same award, having been the winners in 2016; an achievement we are really proud of.
NDP offers a FREE initial discussion, on the ‘phone or over a coffee, if you have a regulatory dispute or problem. We often agree to work on affordable fixed fees for clients based anywhere in the UK. Call us on (0121) 200 7040 or contact us online, if:
- The authorities want to speak to you about an investigation
- You might face prosecution for a dishonesty offence
- You have been charged with an offence
Click here for case studies and testimonials about our work in the area of regulatory disputes.
The New Criminal Task Force
In early 2017, the Insolvency Service set up the Criminal Task Force, ushering in a new era of regulation and investigation. Ninety criminal enforcement officers have been recruited from the Legal Services Group of the Department for Business, Energy and Industrial Strategy to staff the Task Force in a significant drive to combat financial wrong-doing.
It is understood that Insolvency Cases are the Task Force’s main focus, and we anticipate that it will mean more criminal prosecutions for directors as a result of insolvency investigations. Click here for an article as to why we believe this might be the case.
The areas in which we can help you if you have a regulatory dispute or problem are:
Regulatory Raids
Regulatory Interviews
Financial Crime
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 Claims
- 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.
Anti-Money Laundering
- Responding to money laundering investigations.
- Preparing detailed and strategic defences.
- The Regulatory Interview process.
- Challenging cash forfeitures.
Click here for more information.
Directors’ Duties
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.
Company Investigations
- 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.
Investigations by the Companies Investigation Branch
Environment Agency Investigation Solicitors and Defence Lawyers
HSE Investigations
- 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.
Click here for more information.
Professional Conduct – Our Solicitor Services
- 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.
Click here for more information.
Professional Conduct – Our Solicitors’ Expertise
VOSA and Traffic Commissions
- 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.
If you or your business is experiencing regulatory disputes and problems in any of the areas detailed above, contact us for a FREE initial consultation with one of our experts.