Challenging Regulator Prosecutions

Challenging Regulator Prosecutions

Although sometimes played down by regulators, regulator action can take the form of criminal
prosecutions with the risk of substantial fines, reputation damaging publicity and sometimes
imprisonment. Even where modern regulators suggest cautions , acceptance is still an admission of
criminal misconduct. Remember the speeding motorist who does not challenge an early notice may have
significant regrets if points are amassed towards disqualification.

Prosecutions and even threatened prosecutions will affect customers, service users, bankers,
investors and future regulation. In regulatory prosecutions there is increasing ability to “pierce
the corporate veil” and attack individuals in corporate management.

Ridouts can help guide you through the process. No admission should be made for expedience without
the most careful consideration.

Services include:

  • Advising clients on HSE; CQC and police prosecutions;
  • Seeking advance disclosure from the regulators;
  • Preparing documents for submission to the regulators under statutory and non-statutory requests;
  • Helping clients to understand the nature of any interview and whether you should attend;
  • Helping clients to carefully prepare for any interview.  This is not to coach but to ensure that the interviewee knows the background to the interview and is able to do justice to his/her case;
  • Advise on strategy and approach.

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