Do You Need Regulatory Law Advice?
If a complaint is made, and your regulatory body chooses to investigate the matter, it is imperative that you seek legal advice prior to providing any response. It is possible that providing a response without seeking legal advice may prejudice your position or implicate you and any response needs to be carefully reviewed before being served on your regulator.
Regulatory bodies are able to impose a wide range of sanctions including the power to exclude members, withdraw audit certification, impose fines, impose compensation payments and impose costs orders.
Ison Harrison and its specialist regulatory solicitors can assist you when dealing with complaints from clients. Whether it be compliance advice ensuring that you remain pro-active when dealing with a client complaint or providing advice should a specific complaint be escalated.
If a complaint is referred to your professional regulatory body, the complainant will be allocated a case manager and the case will be investigated and reviewed. If a complaint is referred to an investigator you must provide a response to the investigator within 14 days. It is therefore advisable to seek legal advice straight away.
You can contact our team of specialist solicitors today on 0113 284 5062 and they will be happy to discuss any queries you may have in a confidential manner.