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.
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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.
All original material on this site is © Stephen Innes and may not be produced without permission.

Stephen James Innes
Bar Council Number 41453
VAT registration number 782715995
Complaints policy available on request from 4 New Square