Professional Discipline & Regulatory

11KBW provides expert advocacy and advice in professional discipline and regulatory law.  We advise and represent a wide range of individuals, firms and regulators, and our members have acted in many of the leading judicial reviews arising from disciplinary and regulatory decisions.

Professional Discipline

Our barristers act in disciplinary proceedings for individuals and regulators in a wide range of industries, often in the context of concurrent employment and disciplinary proceedings.  We provide advice and representation through from initial hearings to final hearings, appeals and judicial review challenges. Members also frequently advise regulators as to the content and application of their rules, their powers, and potential liabilities.

Regulatory Law

11KBW’s members have acted for and against a wide range of regulators in commercial, judicial review and domestic tribunal proceedings.  Our members have a thorough understanding of the operation of the regulatory regimes set out below, and the commercial, political and personal context in which regulatory action is taken.

Sector-Specific Expertise

Financial services: our members act for firms, individuals and regulators (including the Financial Conduct Authority and Bank of England) on a wide range of matters.  They are particularly experienced in the fields of enforcement action against individuals and firms, remuneration, banking, the perimeter, and pensions. Please see the dedicated financial regulation webpage for further details. We also have a pensions practice that focuses particularly on regulatory issues relating to the Pension Protection Fund, the Pensions Regulator and the Pensions Ombudsman. Please see our dedicated pensions webpage for further details .

Legal: our members have appeared before the Solicitors Disciplinary Tribunal, Bar Disciplinary Tribunal and the Visitors to the Inns of Court. They have sat on bodies such as the Council of the Inns of Court, and have acted in the high-profile recent judicial review challenges relating to the Bar Standards Board, QASA, and the Legal Ombudsman (Office for Legal Complaints).

Accountancy: Members regularly act for accountants and for the Institute of Chartered Accountants of England and Wales in disciplinary proceedings.  They also regularly advise the regulator in relation to its disciplinary powers, rules and its function as a probate regulator.  Our members recently acted for Association of Chartered Certified Accountants in successfully defending a judicial review relating to its disciplinary proceedings.

Sport: Our members have experience of appearing in a wide variety of professional sport tribunals, including the Court of Arbitration for Sport in Lausanne, the FA disciplinary tribunal, and the UEFA complaints panel.  See our dedicated Sports Law webpage for more information.

Health and social care: Members have appeared before the General Medical Council, the Healthcare Professions Council and Nursing and Midwifery Council. We have acted for professionals and advised regulatory bodies in the pharmaceutical, optical, osteopathic, social work, and social care sectors.

Gambling: Members have considerable experience before the First-tier Tribunal (Gambling), and acting in judicial reviews before the High Court and appellate courts.  Members are regularly instructed by the Gambling Commission.

Our members also appear in regulatory proceedings arising from our other core practice areas, including information law and education law:

Information: 11KBW is widely recognised as the dominant chambers in this cutting edge area of regulatory law.  It does more work for the statutory regulator, the Information Commissioner, than any other chambers.  Members’ work in this field has entailed them appearing the Information Tribunal, the High Court, the appellate courts and the Court of Justice of the European Union.

Education: 11KBW’s unrivalled education-law practice encompasses disciplinary proceedings before university disciplinary bodies and the General Teaching Council for England (as was).  Our members have acted for bodies such as OFSTED, the examination boards, and are frequently instructed in employment law matters arising in an educational context.

In addition, members have acted or advised in proceedings relating to fire-fighters, the clergy, the Metropolitan Police Service, the civil service and the Army Board.  We also have experience of acting as independent adjudicators for local, devolved and central government in grievance and non-statutory proceedings, including for the Local Government Ombudsman.

Financial Regulation Briefing

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