Regulatory Investigations
Regulators have significant powers to investigate organisations and individuals, potentially with serious reputational, financial and personal consequences. Any response needs to be based on a robust legal defence strategy.

All UK regulators have statutory powers – most of them wide-ranging – to investigate organisations and individuals. Most regulators can also impose significant penalties while an investigation is still ongoing: for example, failing to comply with a request for information is often a criminal offence with significant financial penalties.

We provide support and advice through all stages of an investigation across multiple sectors, from health and safety to competition to energy. In the event of an investigation without notice (a ‘dawn raid’), we can deploy teams of highly-trained lawyers and IT experts at short notice.

Evolving strategy

The key to effectively managing an investigation is to develop an appropriate and robust strategy. We have an invaluable perspective when doing that, as our team has considerable experience of advising both key regulators in the UK and abroad and acting in investigations for those under investigation. We can use this insight to develop appropriate and fully considered defence strategies.

Specific services include responding to requests for documents/information against the relevant legal framework; managing large document requests via eDiscovery software and developing appropriate search protocols; ensuring that evidence recovery is conducted fairly and lawfully by regulators; and challenging evidence requests, or other procedural requests, that are unfair or disproportionate.

We adjust our approach according to the nature of the investigation. For example, we tailor the document/evidence review processes so that they are efficient and proportionate, and our flexible legal and paralegal teams enable us to provide the necessary level of support in any size of investigation.

Our expertise includes:

Advising and developing a focused and robust defence strategy that evolves as the investigation proceeds
Representing people during questioning by investigators and prosecutors
Rapid response to ‘dawn raid’ investigations
Responding to requests for documents or information, including managing large volumes of data
Tracking and assessing emerging evidence, and ensuring that it is protected by legal privilege

Meet our key contacts

Jamie McRorie

Partner

Meet our full team

Kevin Clancy

Partner

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Gordon Downie

Partner

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Natasha Durkin

Senior Associate

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Jamie McRorie

Partner

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Kenzie Sharkey

Senior Associate

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