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Regulatory Solicitors

Cartwright King’s regulatory solicitors are on hand if you or your business is facing an investigation or prosecution. We have a vast amount of experience in these types of matters and can assist wherever you are based.

With an increasing number of investigations and prosecutions and the Government’s drive to raise the profile of regulatory cases in the courts, the need for specialist quality advice has never been greater.

Initial telephone consultation

We understand that you will want to speak to us initially to see how we can help. From experience, we have identified three questions an enquirer will ask; can we help, how much will it cost and how long will it take. We will offer a no obligation, initial telephone consultation to discuss your case, outline your options and how best we can assist you. You can call us on 0808 168 5550 or email and we’ll phone you back.

What is a regulatory case and why do I need legal representation?

All businesses however large or small and whatever the sector are governed by the same regulatory framework. From safety within your business to how you manage your business’s waste, every aspect of your working world is regulated through the application of duties and obligations set down in law.

A Regulatory case exists where there is an allegation of breach of these duties or obligations or a failure to meet the required legal standard. Breaches of the duties and obligations placed on businesses and individuals can be criminal offences and could result in a criminal investigation and prosecution by regulatory authorities, like Trading Standards departments or the Environment Agency. Investigations into breaches or failings are conducted in just the same way as a police criminal investigation using all the same powers and techniques. If a prosecution is brought, it will be in the criminal courts and on conviction will result in a criminal record.

In most cases, the law allows a director to be prosecuted personally if the business he or she manages fails to comply with its duties and obligations. This could result in a criminal conviction, disqualification from being a director for up to 15 years and in the most serious cases, a prison sentence.

How do I know if I am under investigation?

Usually, you or the company secretary will receive a letter from the investigating regulatory authority inviting you to attend a meeting or appointment for an interview under caution. The letter may indicate what piece of legislation you have breached e.g. “Health and Safety at Work Act etc. 1974” and have the letters “PACE” in the heading.

Interviews under caution are a vital tool for regulators to gather evidence against you or your business and must be managed very carefully. The interview itself is undertaken using the same powers available to the police under the Police and Criminal Evidence Act 1984, often simply referred to as a “PACE interview”. If you were at a police station being asked questions about your potential involvement in the commission of a criminal offence you would want legal advice. Well, a PACE interview by a regulatory authority is just the same- so take legal advice as soon as possible.

What is Enforcement action?

A regulatory authority like the Health and Safety Executive or a Local Authority Environmental Health team may also use enforcement action against businesses and individuals to ensure compliance with duties and obligations. This will involve serving the business or individual with a Notice setting out what the failure is, what is required to reach the minimum standard for compliance and usually a timescale in which action must be taken. In almost all circumstances, failure to comply with the steps required in a Notice is a criminal offence.

However, in most cases there is a right to appeal against the enforcement Notice. Timely advice on your rights of appeal may save costs and disruption later. 

Who do we work with?

Our lawyers have experience in dealing with regulatory issues for businesses of all sizes in some of the most challenging business sectors like:

  • Construction
  • Civil Engineering
  • Manufacturing
  • Mining and aggregates
  • Light and heavy industry
  • Social Care and Care Homes
  • Farming, Agriculture and Agri-chemicals
  • Retail
  • Public events, displays and attractions
  • Showmen
  • Restaurants, catering, hotel and leisure
  • Transport and distribution
  • Sports and entertainment
  • Pharmaceuticals

What we can help with:

Why Choose Cartwright King?

Our expert regulatory criminal lawyers specialise in defending you and your business against regulatory investigations and prosecutions- it is what we do and we are good at it.

We are hugely experienced in dealing with any size of case or problem for any size of client from a sole trader to a multi-national company.

In many cases our work comes from word of mouth recommendations, other professional advisors on behalf of their clients or direct from in-house legal teams.

Cartwright King’s regulatory solicitors have a detailed understanding of the powers and procedures of regulatory bodies and apply this knowledge and experience to protect your interests and achieve the best possible outcomes.

Our adaptability and experience enables us to take on the most complex cases, often at short notice or immediately after a critical incident. However, we are just as adept at providing you with “before the event” advice on compliance and protecting you and your business in the unlikely event of a regulatory investigation.

Our Regulatory lawyers appear in all Criminal Courts including the Magistrates’ Court, Crown Court and Court of Appeal. We also have access to specialist in-house advocates familiar with appearing before any kind of Tribunal.

The Regulatory team at Cartwright King is very experienced in dealing with a wide range of regulatory cases investigated and/or prosecuted by a range of regulatory authorities including the following (not exhaustive):

  • Health and Safety Executive
  • Local Authorities including Environmental Health, Trading Standards, Planning, Enforcement, Consumer Protection and Unfair Trading teams
  • Environment Agency
  • Care Quality Commission (previously the Commission for Social Care Inspection)
  • Authorities dealing with Fire Safety 
  • Food Standards Agency
  • Ofsted
  • The Financial Conduct Authority
  • The Serious Fraud Office
  • HM Revenue and & Customs
  • The Competition and Markets Authority (previously the Office of Fair Trading)
  • Department for Business, Innovation & Skills (previously the Department for Business, Enterprise and Regulatory Reform and the Department of Trade and Industry)

Can you work with my Insurance company?

If you have a policy of insurance that has legal expenses cover, we are able to work independently with your insurer so you receive the representation you chose.

How to make contact

Alex Radley - Head of Regulatory 

Telephone: 07718 637147 Email:

For a no obligation, confidential discussion about your situation please call us on 0808 168 5550 or email We are able to represent you wherever you are based.


COVID Secure

As the government begin to ease lockdown measures, we have setup a new COVID Secure team to review how clients can resume visiting our office when required, safely. The team has also reviewed how Cartwright King employees can return to the office safely so that business can return to normal as possible. Should you wish to book an appointment with one of our legal representatives and visit our office, you will be prompted to read our new office guidance notes which must be read and understood before visiting. Further information can be found on our office location web pages.

We have also created a Know Your Rights page which has all the latest information surrounding your legal rights amidst the Coronavirus outbreak.

Our offices

We have offices in Bedford, Birmingham, Derby, Leeds, Leicester, London, Manchester, Middlesbrough, Northampton, Nottingham and Sheffield.

Cartwright King also promotes remote working, so we can provide you with the same excellent service outside of our office locations.

Email you enquiry:

Email your Enquiry

Please complete the form below providing a brief outline of your query, and a member of our friendly team will be in touch with you shortly.

Please note that this is only a PROVISIONAL appointment time, a member of our team will either confirm the request, or provide the closest alternative option available.


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