Accountants Regulation & Professional Disciplinary

An investigation into your accounting activities by an industry regulator can have significant consequences for your career, your firm, and your personal life. It is vital to have a team of solicitors on your side who understand the regulatory landscape.

If you are an accountant facing a regulatory investigation, it is important to instruct experienced solicitors to represent and advise you from the start, as soon as you receive notification of any investigation. DJMS Solicitors advises accountants, finance directors, senior financial managers, and other financial professionals facing accusations of regulatory misconduct.

We represent accountants in regulatory proceedings by the main industry regulatory bodies including:

• Financial Reporting Council (FRC)
• Institute of Chartered Accountants in England and Wales (ICAEW)
• Association of Chartered Certified Accountants (ACCA)
• Association of Accounting Technicians (AAT)
• Association of International Accountants (AIA)
• Chartered Institute of Management Accountants (CIMA)

Why choose DJMS Solicitors?

Our specialist team advises and represents accounting and financial professionals in a wide range of regulatory and professional disciplinary investigations and proceedings, such as:

• Professional misconduct
• Lack of due care and concerns around competency
• Issues relating to certification and qualifications
• Allegations of dishonesty
• False accounting
• Registration issues e.g. false information

We will review the grounds of the claim against you by the relevant regulatory body and advise on the next steps, such as drafting a response to the initial notification, representing you during the investigation process, or attending any professional disciplinary tribunal/committee hearings. Where necessary, we also provide advice and representation in any related criminal proceedings.

Through our extensive defence representation experience, we recognise that professional disciplinary matters are often very complex, multi-layered, and can involve several investigations by bodies such as the Serious Fraud Office (SFO), the police, and HMRC. A careful strategic approach is required, including involving specialist counsel and robust expert evidence where necessary.