Regulatory Law

Your business, however large or small and whatever the sector, is governed by a 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 breaching these duties or obligations or a failure to meet the required legal standard. If accused of breaching your duties or obligations, you could face a criminal investigation and prosecution by regulatory authorities such as Trading Standards or the Environment Agency

If you stand accused of violating regulatory laws, you will need legal representation to help defend against the accusations made. A regulatory solicitor is best-placed to help you understand the accusations made against, scrutinise the evidence and advise you on your legal rights.

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.

A regulatory authority like the Health and Safety Executive or a Local Authority Environmental Health team may 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.

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

• 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

• Regulatory Compliance
• Director’s Duties
• Breaches of Duties and Regulations
• Abatement Notices
• Interviews Under Caution
• Enforcement Action, Improvement Nohttps://cartwrightking.co.uk/areas-of-practice/criminal-defence/hse-interview-under-cautiontices and Prohibition Notices
• Appeals against Notices
• Health and Safety
• Corporate and Gross Negligence Manslaughter
• Environmental Law
• Waste Management
• Waste Packaging
• Environmental Health
• Food Safety
• Closure Notices and Orders
• Trading Standards
• Weights and Measures and Counterfeiting
• Planning Law
• Coroner’s Inquests
• Fire Safety
• Competition and Markets Authority (formerly OFT) Investigations and Prosecutions
• Department for Business Innovation and Skills
• Professional Discipline
• Local Authorities
• Other Regulatory Bodies