The overlap between regulatory and criminal proceedings

Olliers is well-established as one of the UK’s leading criminal defence firms, ranked as a top tier practice by both the Legal 500 and Chambers Guide, as well as being named a Times Best Law Firm in 2025 and Crime Team of the Year at the Manchester Legal Awards 2025.  

Olliers professional discipline department 

In addition to our exceptional criminal defence team, we also have a dedicated department dealing with Disclosure and Barring  Service (DBS) matters and a specialist regulatory department dealing with individuals and businesses facing investigation and prosecution by the full spectrum of authorities and regulatory bodies including the police; Health and Safety Executive (HSE); General Medical Council (GMC); General Dental Council (GDC);  Nursing and Midwifery Council (NMC); Teaching Regulation Agency (TRA); Health and Care Professions Council and CQC amongst others. 

Having experienced lawyers across three distinct but often related areas of law allows Olliers to offer a truly holistic approach that benefits our clients, particularly those in the regulated sector including doctors, nurses, dentists, opticians, teachers, solicitors and accountants. 

Below we explore how such cases are often linked, as well as the benefits of instructing one team to deal with all matters from DBS to criminal proceedings and any related regulatory investigations and proceedings. 

How are regulatory and criminal proceedings linked? 

Regulatory matters and in particular professional discipline cases will often involve allegations of misconduct with a potentially criminal angle, for example allegations of fraud, theft, assault or sexual offences.  

Whilst the individual proceedings must be allowed to run their own course and have decisions taken by duly appointed panels and, where necessary, Judges and/or juries, the fact is that the cases will by their nature involve many of the same characters and issues, principally, the complainant(s), witnesses and the professional. There will also be consistent consideration across all sectors around public protection, insight and the risk of repetition if allegations are found to be true. 

What are the benefits of continuity of representation? 

Investigations by different authorities may not necessarily commence at the same time but if a regulated professional is under criminal investigation or subject to a referral to the DBS by way of a minded to bar or intention to include on the Barred List, it is imperative to consider, at an early stage, the potential for regulatory proceedings to also be initiated. 

The benefits of seeking specialist advice from the same defence team at the earliest opportunity include: 

• Consistent and tactical advice from a team that not only has the experience to assist with the criminal allegations but one that also understands the potential consequences for the professional when it comes to their career and the regulatory fallout 
• Less pressure on the client to recall specific details from separate investigations/proceedings which also reduces the risk of knowledge gaps and an inconsistent approach 
• Key evidence in related proceedings is easier to identify, obtain and deploy 
• Familiarity with the evidence and performance of witnesses allows for effective preparation and cross examination  
• Appropriate applications which benefit the client can be identified and made at the earliest opportunity  
• A more cost-effective approach for the client 

Why choose Olliers? 

Our lawyers at Olliers have not only the experience but the proven track record of assisting clients achieve the best possible outcome. Our collaborative and holistic approach means that we address the issues in a timely and effective manner with a view to influencing the direction and outcome of the case for the benefit of our clients.  

Whilst we are, of course, more than happy to work with individuals and businesses who instruct us at any stage, it is well recognised that involving us at an early stage invariably alleviates a degree of pressure/stress and also ensures that we are collectively able to explore relevant issues whilst fresh in the memory and when key evidence is more likely than not still available.   

Our expertise in both criminal law and regulatory procedures gives us an edge when it comes to providing advice to meet the needs of our professional clients and our ability to foresee the problems which could arise in overlapping and related proceedings. 

It is important to remember that even if a criminal investigation appears on the face of it unrelated to an individual’s ability to work in their particular field, this may not be so, therefore it is sensible to instruct a team who can offer genuine expertise in the regulatory/professional discipline sector as well as criminal proceedings. 

How can Olliers help me? 

Our lawyers can assist with the following in relation to criminal investigations: 

• Advice and assistance upon arrest 
• Representation at a PACE interview 
• Pre-charge representation throughout any police investigation; 
• Representation at the Magistrates’ and/or Crown Court if you are prosecuted 

We also regularly advise and represent professionals at all stages of professional discipline process including: 

• Interim order tribunals 
• Drafting initial and substantive responses to allegations 
• Representation at misconduct hearings  

Contact our Professional Discipline Lawyers 

At Olliers we are committed to excellence in terms of both the advice and the service we provide. We offer tailored and pragmatic advice to all those we represent and our holistic approach by a team of specialist lawyers who are highly regarded by clients and peers alike make us a go to firm for professionals and businesses from across the UK, therefore please do get in touch with a member of the team for an initial discussion if you find yourself subject to criminal and/or regulatory investigation.