Professional Disciplinary

If you have been informed that you are going to be subject to an investigation by a professional regulator, it is essential that you seek the best legal advice as soon as you possibly can.

Doing so at the earliest stage of any investigation can be critical in protecting your personal position and safeguarding your practice. Wilford Smith's Regulatory and Compliance Solicitors have many years experience acting on behalf of clients who have been accused of professional misconduct across a wide range of sectors. Such professional areas include the healthcare sector, education, professional and financial services, and include conduct issues such as dishonesty, financial misconduct, conflicts of interest, practice-related matters and criminal convictions.

Our team can advise you on the professional implications of an investigation into alleged misconduct, and the appropriate response to make to your regulator. When it is fitting and proper to do so, we can help you to conclude matters as quickly as possible by resolving cases by consent, or by helping you to draft detailed responses during the investigation process. In the event that you are referred to a conduct hearing, Wilford Smith's Regulatory and Compliance Team can advise you on the best defence strategy, and can provide the highest quality representation when necessary. Speak to one of our solicitors today to find out how we can help.

Which professional regulators do we specialise in dealing with?

In many professions, there will be a regulatory body that oversees the fitness to practise in a particular line of work. These bodies have responsibility for registering or licensing professionals, and will seek to revoke the registration or licence of those found to have breached the regulations. The Regulatory and Compliance Solicitors at Wilford Smith specialise in advising clients in relation to disciplinary proceedings undertaken by a wide range of regulatory bodies. These include:

The General Medical Council (GMC)

If you are a practising doctor, either in training or fully qualified, you require to be registered with the GMC. If a complaint is made against you, the GMC will consider the nature of this complaint and decide

whether it is necessary to refer you to a Fitness to Practise hearing with the Medical Practitioners Tribunal Service (MPTS). An investigation may involve GMC Case Examiners gathering information from the complainant and other parties, the collecting of witness statements from the complainant and witnesses, collecting statements from your colleagues and employers, and assessing your health and performance. The Regulatory and Compliance Solicitors at Wilford Smith can provide you with expert guidance throughout an investigation, advising you on what information should be submitted to Case Examiners to support your position, and assisting you with your written response.

The Nursing and Midwifery Council (NMC)

The professional discipline solicitors at Wilford Smith have extensive experience acting on behalf of nurses and midwives in England and Wales in regards to disciplinary matters, providing guidance in relation to dealings with the NMC. We provide representation to individuals throughout the nursing sector, whether you are a nurse or midwife based in a hospital or the community. When a complaint is made regarding your conduct, the NMC will make a series of preliminary enquiries in order to establish if there are grounds for a case against you. If you receive notification of an impending NMC investigation, it is essential to get expert legal advice at the earliest opportunity to help you conduct the strongest possible defence should the matter be referred to a Professional Conduct Committee.

The Independent Police Complaints Commission (IPCC)

The IPCC carries out hundreds of investigations into complaints regarding the conduct of members of the police force in England and Wales. Complaints can be raised in circumstances where a member of the public feels that a serving officer, a contractor working for the police or a police volunteer has behaved in an inappropriate manner. This may include being subject to aggressive or rude treatment, witnessing an incident in which it is felt another person has been treated in an inappropriate manner, or if an individual believes they have been adversely affected by the conduct of the police. The Regulatory and Compliance Team at Wilford Smith can provide expert legal guidance in relation to IPCC investigations, including prosecutions and appeals, and are able to attract the highest calibre barristers to provide support when necessary.

The Solicitors Regulatory Authority (SRA)

The SRA has responsibility for the regulation of the legal profession, acting in the public interest to investigate and potentially take action when allegations are made that solicitors or firms have breached the SRA's principles. Cases of misconduct and breaches of professional rules are held before disciplinary tribunals, which have the power to strike solicitors off the roll, suspend them

indefinite periods, issue unlimited fines and restrict a solicitors right to carry out legal aid work. Our team can help to offer a robust defence to any allegations made against a solicitor from the earliest stages of the enforcement procedure, and provide expert representation at tribunals and appeals.

Contact our Regulatory and Compliance Solicitors in Sheffield

Wilford Smith's experienced Regulatory and Compliance Solicitors are committed to providing a high-level service for our clients by taking a ruthless approach to any disciplinary proceedings on their behalf. Our team takes pride in its reputation for achieving successful results in this area of the law. We will ensure you are given straightforward and practical advice throughout any investigation, and we will work tirelessly to protect your livelihood and professional reputation. We know how distressing an investigation can be but you can rely on our team to defend your position and obtain the best possible outcome.

Our Regulatory and Compliance Solicitors are based in Sheffield and serve clients throughout England and Wales. Contact us today on 0808 164 1349 to find out how we can help.


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  • Meadowhall Business Park
  • S9 2EQ
  • Tel: 0808 164 4106
  • Fax: 0844 225 0572


  • Smithy House 22 Westgate,
  • Rotherham S60 1AP
  • Tel: 0808 164 4106
  • Fax: 0844 225 0572


  • 20 Old Bailey
  • LondonEC4M 7AN
  • By appointment only
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2024 Wilford Smith is the trading name of WS Strategic Ltd. a limited company registered in England and Wales, registration number 07777022. Registered office – Meadowhall Business Park, Sheffield S9 2EQ. We are authorised and regulated by the Solicitors Regulation Authority. SRA Registration Number 640898.