Regulatory Disputes

Advice on regulatory disputes

Our regulatory team supports our clients with a wide range of complex regulatory issues, and have experience in dealing with the major regulators and professional bodies. We have worked on a number of matters involving the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA), and have also advised clients who are the subject of investigations by the Solicitors Regulation Authority, the Teaching Regulation Agency and the Football Association, as well as the tax and accountancy professional bodies, and the CFA Institute.

Matters we can support you with, include:

Regulatory investigations

Supporting businesses and individuals who are the subject of a regulatory investigation. Our regulatory team advise throughout the process, from document review and compelled interviews through to conclusion.


Supporting senior executives when required to attend interview by their regulator prior to approval. We assist in preparation for interviews, the interview process and the right to make representations.

Internal investigations

Carrying out internal investigations for businesses where concerns have been raised either by a whistleblower or an external regulatory body. We advise business areas around document retention and potential production, as well as conduct interviews and, where necessary, coordinating a response to the regulator.

Policy advice

Advising businesses on policies, procedures and practices, on such areas as remuneration and outsourcing to ensure best practice and regulatory compliance.

Responsibility mapping

We assist businesses and individuals with responsibility mapping, and statements of responsibility, under the Senior Managers and Certification Regime (SM&CR). We also advise on the annual certification of individuals’ fitness and propriety, and any interim issues surrounding fitness and propriety.

Regulatory references

We advise on the rules governing regulatory references and the appropriate approach to references, and consequences for individuals.

Our regulatory lawyers have all worked for enforcement teams within the regulators as well as in the litigation and regulatory teams of major financial institutions. We aim to work collaboratively with regulators to help our clients reach a speedy and stress-free solution. If this is not possible we will vigorously defend our clients in court to protect their best interests.

Who can our regulatory lawyers help?

Our regulatory dispute specialists have worked successfully with clients across a number of industry sectors, including insurance, sports, law, accountancy, banking and education, and have supported businesses and individuals in the UK and internationally. Our broad experience means that we can effectively support our clients with any regulatory issue, and can guide you through your regulatory obligations so that your business remains compliant. We can also help you plan ahead to avoid breaches of regulations.

Contact us

For further information on how we can support you, please either contact a member of our Regulatory Dispute team directly or, alternatively, submit an enquiry form.

Charles Herbert

Charlie leads the firm's Regulatory and Financial Services Disputes practice. He joined Doyle Clayton to set up the team having worked as legal counsel in the Enforcement and Litigation Division at the Bank of England. Prior to that, he was a senior solicitor in the Contentious Regulatory and Litigation Teams at Santander UK plc and in the litigation team of a leading national law firm, where he also undertook a secondment in the Barclays Litigation team.

  • Partner & Head of Regulatory and Financial Services Disputes
  • T: +44 (0)20 7778 7231
  • Email me

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