Regulatory risk and compliance

“They are very thorough in their preparation work, so they can see all the complexities surrounding our case.”

Chambers UK A Client's Guide to the Legal Profession 2015
Our Regulatory Risk and Compliance lawyers advise on risk and compliance arising from any laws and regulations that rely on sanctions or penalties to regulate the operations of an organisation or an individual.

Main areas of practice 

Our work falls into the following areas:

  • Reputation Management 
  • Coroners' Investigations and Inquests
  • Appeals against Enforcement Notices
  • Criminal Defence - in Criminal Investigations and Criminal Prosecutions
  • Raids and searches 
  • Due Diligence and Trainng
  • Anti Bribery

We provide advice and guidance in the following areas:

Health and Safety Consumer credit
Corporate manslaughter Product liability and recall
Food law Driving and transport issues 
Care standards Competition
Environmental law Fraud
Consumer protection  Anti-Bribery

Clients 

We represent cross sector corporate and private individual clients facing criminal investigation and prosecution by the Police and/or regulators including:

Health and Safety Executive Environment Agency
Care Quality Commission Local Authorities
Food Standards Agency Financial and Conduct Authority
Advertising Standards Agency  Trading Standards

Case study

The team acted for Port client ("P") in its prosecution of 'TGM' Ltd ("the Company") and its Managing Director for 3 offences.  The prosecution related to the operation of a motor tank barge.  P did not renew the vessel's licence for safety reasons after 30th November 2015 and issued a Special Direction prohibiting use after that date. 

Despite this, the vessel was seen collecting a bottle bank from a yard on 3rd December 2015 and without its Automatic Identification System ("AIS" ) equipment switched on. AIS equipment means that a master can see where other vessels are on the River.

The Company was charged with the licence offence and the Master (and Managing Director) was charged with failing to comply with a Special Direction and failing to use AIS equipment.  The case culminated in a trial in the Magistrates Court and having heard all of the evidence the court convicted both defendants of all charges.  The court imposed fines of £3750 and ordered the defendants to pay costs of almost £20,000.  P was very pleased with the outcome believing it sends a clear message that safety is paramount on the River and it will take strong action against those who operate vessels without licences, in defiance of orders issued by the Harbour Master and without navigational safety equipment fully functioning.

Related expertise

Main contacts

Related Knowledge & Resources

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