Professional Discipline & Regulation Solicitors

Key Aspects of Professional Discipline

Purpose

• Protect the public and clients from malpractice or unethical behaviour

• Maintain confidence in the profession

• Promote accountability and continuous improvement among professionals

Who Oversees It?

• Professional bodies or regulators specific to each profession, e.g.:

• General Medical Council (doctors)

• Solicitors Regulation Authority (lawyers)

• Nursing and Midwifery Council

• Chartered Institute of Trading Standards (for Trading Standards officers)

• Sometimes government agencies or independent tribunals

Common Grounds for Discipline

• Professional misconduct (e.g., fraud, negligence, dishonesty)

• Breach of ethical codes or standards

• Incompetence or poor performance

• Criminal convictions impacting professional role

• Breach of confidentiality or conflicts of interest

Process

• Investigation: Complaints are investigated by the regulatory body.

• Hearing/Tribunal: If serious, a disciplinary hearing is held where evidence is reviewed.

• Sanctions: Possible outcomes include warnings, fines, retraining, suspension, or removal from the professional register/licence.

Examples of Sanctions

• Formal reprimand or caution

• Suspension from practising temporarily

• Revocation of licence or registration (striking off)

• Mandatory training or supervision

• Financial penalties

Why It Matters

Professional discipline balances protecting the public and supporting professionals in maintaining standards. It also deters misconduct and promotes trust in services like healthcare, law, engineering, and trading standards.

Niche Option/Overage Agreements is a niche sector that we have fine tuned to give sound legal advice protecting your business interest.

Flexibility We are flexible with our approach and appreciate that you are busy. Any meetings can be held via Teams or at any one of our offices.

Expertise Our lawyers have experience within Tier 1 law firms internationally and nationwide. Instructed on transactions from a peppercorn up to £1 billion pounds.

Costs We will always provide you with a fee estimate. If there is any additional work, instructions change or the matter becomes protracted then; we will inform you of any uplift.

Established We have over 150 years’ experience in providing specialist legal advice representing businesses and high net-worth individuals.

Professional Discipline & Regulation

Accreditations and Affiliations

Any solicitor can say they are experienced in what they do. We go the extra mile to demonstrate our expertise. Many of our lawyers have undertaken independent assessments of their knowledge and skills. Our accreditations give you the assurance that you are dealing with a specialist.