Regulatory/Disciplinary work

I have significant experience in regulatory/disciplinary matters, which complements my practice in professional liability.

photo of paper stack

Regulatory and disciplinary matters can be very challenging for professionals to deal with, particularly if the investigation or disciplinary proceeding is not covered by insurance.

Direct access can be a very cost effective way for the professional to obtain help in dealing with the matter. I deal with a number of matters on behalf of lawyers and accountants/auditors.

I also assist clients making complaints to the Legal Ombudsman.

For professionals anxious about their obligations as a result of GDPR, I have co-written a series of articles which appear on chambers’ website.

Here is an article for the Wellbeing at the Bar website in which I consider the impact of a High Court decision concerning lawyers’ mental health in regulatory/disciplinary proceedings.

I am a member of the Association of Regulatory and Disciplinary Lawyers.

Recent cases

advising and representing a lawyer in disciplinary proceedings, defending allegations of dishonesty in relation to the creation of client retainer documents;

advising and representing an auditor in relation to allegations of misconduct raised by the ICAEW;

representing a solicitor in an appeal against disciplinary findings.

Legal Notice

The material on this site is for general information only and is not legal advice. No liability is accepted for any loss or damage which may result from reliance on it. Always consult a qualified lawyer about a specific legal problem.

Neither the submission of any enquiry to Stephen Innes by a user of this site, nor any contact between Stephen Innes and a user of the site, whether written, electronic, oral, telephonic or otherwise will give rise to a retainer, duty of care or liability of any kind (including for loss or damages) to the user of the site, even if Stephen Innes has been advised of the possibility of such damages or such damages are foreseeable. Accordingly, and notwithstanding the submission of any enquiry to or any contact with Stephen Innes, all users of the site remain wholly responsible for complying with any limitation deadline (including but not limited to any statutory or contractual limitation deadline) for issuing any court proceedings, as well as complying with all directions, orders and notices issued by the court.

Bar Council Number 41453

VAT registration number 782715995

Regulated by the Bar Standards Board

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