Regulatory Compliance Disputes

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.

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• 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.

• Responding to money laundering investigations.

• Preparing detailed and strategic defences.

• The Regulatory Interview process.

• Challenging cash forfeitures.

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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.

• 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.

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• 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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• 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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• 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?

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