Regulatory Law Advice for Accountants

At Ison Harrison, we understand that being the subject of a complaint, an investigation or disciplinary proceedings is stressful, time consuming and potentially career threatening.

Having a proactive and knowledgeable solicitor will ensure that any investigation is resolved with the best possible outcome and the least personal stress.

At Ison Harrison Solicitors, Ian Anderson, the head of our Regulatory Law Department, will robustly defend allegations of misconduct, interim orders, defend you at disciplinary proceedings. We can also handle appeals and reviews.

We can assist from the outset of proceedings to the conclusion and we offer clear and practical advice. We will challenge the investigator, formulate legal arguments, advise you on procedure and speak for you as your advocate. You will deal with a specialist solicitor from the outset to the conclusion of your case and have a single point of contact throughout.

We will assist students, affiliates and members of all accountancy bodies including the Association of Chartered Certified Accountants (ACCA), Institute of Chartered Accountants in England and Wales (ICAEW), the Chartered Institute of Management Accountants (CIMA) and the Institute of Financial Accountants (IFA).

If you have indemnity insurance and your insurer agrees to pay the costs of your case you do not have to use the solicitor appointed by your insurer. You are able to select Ison Harrison and your costs will be covered by your insurance.

If you have any queries or would like to discuss a matter in confidence, Ian can be contacted directly on 0113 284 5062.

Recent achievements include:

Successfully challenging allegations of misconduct relating to the non-disclosure of matters likely to render an accountant liable to disciplinary action. Allegations not proven.

Successfully arguing that a police caution for drugs possession was not ‘misconduct’ according to the bye-laws of the Association of Chartered Certified Accountants. Allegation not proven.

– Convincing the disciplinary panel that late disclosure of a matter liable to render a member of the Association of Chartered Certified Accountants liable to disciplinary action was not ‘dishonest’ and therefore could not be proven. – Successfully arguing that a failure to disclose ‘spent’ convictions when required to do so was not dishonest and did not amount to misconduct. Allegation not proven.

Successfully arguing that a practicing accountant convicted of possession of an offensive weapon, assault and a public order offence be allowed to continue to practice without restriction. Decision: Admonishment.

Mitigating on behalf of a sole practitioner that his conviction for regulatory offences relating to financial conduct should not preclude him from continuing to practice. Decision: Reprimand.

Arguing successfully that details of disciplinary proceedings should not be published in order to protect an accountant’s reputation in his local community.

Arguing successfully that the assessor should not refer matters to the disciplinary panel alleging undue preference when selecting an auditor on behalf of a sole practitioner.