Regulatory
We provide support to businesses and individuals operating in a regulated sector, from one-off, isolated incidents to providing a complete overview of regulatory obligations.
We enable clients to stay current with legal changes, identify and address regulatory issues before they become problems, and represent clients when they are engaged after an incident has occurred.
We can support with…
Data Protection
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In an era where personal data is a highly valuable asset and potential liability, data protection law is central to how individuals and businesses operate. Whether an individual is concerned about misuse of personal data, an SME handling sensitive customer information, or a corporate navigating a complex compliance regime, understanding the legal obligations involved is essential.
At Harold and McCormack Law, our privacy and data protection lawyers provide clear, strategic legal advice to clients across a wide range of sectors. We assist with data breaches, subject access requests, and regulatory investigations.
Key legislation we advise on
Our data protection specialists are well-versed in the following areas:
- The UK General Data Protection Regulation (UK GDPR), which governs the lawful processing of personal data, individual rights, privacy notices, consent requirements and international data transfers.
- The Data Protection Act 2018 (DPA) supplements the UK GDPR with specific national provisions, including those relevant to criminal justice, journalism, research, and employment. We provide legal advice to individuals and organisations on compliance with these provisions.
- The Freedom of Information Act 2000 (FOIA) sets out the public’s right to access information held by public authorities. We advise on making and responding to FOIA requests and on applying exemptions.
- The Environmental Information Regulations 2004 (EIR) provide public access to environmental information held by authorities and other relevant bodies. We assist requesters to navigating the EIR.
Comprehensive legal services
We provide tailored advice on GDPR compliance, including lawful data processing practices, appropriate management of data sharing and retention.
We regularly assist clients in handling complex Subject Access Requests (SARs), ensuring responses meet legal standards and protect sensitive interests. In the event of a data breach or regulatory inquiry, we act swiftly to manage risk and regulatory exposure.
Why choose Harold and McCormack Law?
Our team provides practical legal support while ensuring data rights are respected and upheld. Whether responding to a regulator, managing internal processes or dealing with a live incident, our expertise ensures our clients are supported at every stage.
Director Disqualifications
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At Harold & McCormack Law, we understand the serious professional and personal impact that director disqualification proceedings can have. Whether you have received a Section 16 Letter or are under investigation, our experienced solicitors are dedicated to protecting your position, reputation, and ability to continue operating.
What Is Director Disqualification?
Director disqualification is a legal process designed to ban individuals from acting as a director or being involved in the management of a company for a specified period, typically ranging from 2 to 15 years. Common grounds for disqualification include:
- Failure to keep accurate accounting records
- Trading in contravention of insolvency rules
- Misuse of company funds or assets
- Non-compliance with statutory returns (e.g. VAT, accounts)
- Breaches of fiduciary duties
- Fraud, misrepresentation, or other misconduct
Given the potentially long-lasting ramifications, early and experienced legal guidance is crucial.
Advice on Investigations and Section 16 Letters
Receiving a Section 16 Letter signals that the Insolvency Service considers your conduct to be serious enough to warrant you being unfit to hold the role of director. We respond promptly on your behalf, prepare a robust defence or negotiate a potential settlement to avoid prolonged court proceedings.
Challenging Disqualification Proceedings
If the case proceeds to court, our team provides comprehensive representation, including detailed submissions, evidence gathering and persuasive advocacy at court.
Negotiating Director Disqualification Undertakings
In some cases, offering a disqualification undertaking may help avoid a contested litigation process. We advise on the benefits and risks of this approach, negotiating to secure the shortest possible disqualification term.
Applications for Permission to Act as a Director (Section 17 CDDA)
If disqualified, you might still need to continue in a management role to safeguard your business interests. We can assist by applying to the court under Section 17 CDDA to safeguard the interests of your business during the disqualification period.
Our team can represent a wide range of clients across the UK, including:
- Directors facing investigations after insolvency or misconduct allegations
- Individuals accused of unfit conduct
- Directors of liquidated companies
- Entrepreneurs managing multiple businesses
- Professionals in regulated sectors such as finance, law, and care
No matter your circumstances, we aim to preserve your ability to lead and mitigate any reputational or financial damage.
Director disqualification matters involve strict deadlines and complex regulatory requirements. Early action is essential to protect your rights and professional future. At Harold & McCormack Law, our team is ready to provide prompt, strategic legal advice.
Education
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The team at Harold & McCormack Law specialises in providing legal services to education providers, ranging from statutory compliance with the regulatory regime to responding to issues that arise, including interventions and actions brought by regulatory authorities. Read more >
Environmental Protection
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Environmental enforcement in the UK has become increasingly rigorous, with companies and individuals under greater scrutiny from regulatory bodies including the Environment Agency, local authorities, Department for Environment, Food and Rural Affairs (DEFRA) and Natural Resources Wales. Alleged breaches of environmental law can result in significant penalties, criminal prosecution, and reputational damage.
At Harold and McCormack Law, we advise companies, directors, and employees facing investigation or prosecution for environmental offences. Our experience covers a full spectrum of environmental regulations, with a particular focus on pollution, waste disposal, water contamination, and land management.
Responding to enforcement action
When enforcement agencies launch an investigation, prompt legal advice is critical. Investigations may begin with site inspections, interviews or requests for documentation. We help clients respond effectively to these inquiries, protecting their legal position and ensuring compliance with regulatory obligations.
Whether facing a civil sanction, criminal prosecution, or enforcement notice, we provide legal support throughout the regulatory process. We advise on internal investigations, cooperate with regulators when appropriate, and defend clients robustly in the event of enforcement action.
Key areas of expertise
Our work includes defending allegations of unlawful discharges to land or water, breaches of waste handling and storage regulations, pollution from industrial or agricultural activity, as well as failures to comply with environmental permits or planning conditions.
We support clients with responses to enforcement notices, regulatory interviews, court proceedings, and appeals, always ensuring their rights are protected while working to achieve the most favourable possible outcome.
Protecting operations and reputation
Environmental allegations can quickly escalate and attract negative publicity. We work discreetly and strategically to minimise commercial risk, manage stakeholder concerns, and protect business continuity. Our team understands the operational pressures our clients face and works closely with environmental consultants, engineers, and industry experts to provide comprehensive defence strategies.
Fire Safety
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Legal Support Under the Regulatory Reform (Fire Safety) Order 2005
The Regulatory Reform (Fire Safety) Order 2005 (Fire Safety Order) places clear legal responsibilities on duty holders, including employers, building owners, landlords and agents, to ensure management of fire safety risks.
At Harold & McCormack Law, we advise individuals and organisations who are subject to investigation, enforcement action, or prosecution under the Fire Safety legislation. Whether in relation to compliance with fire risk assessment obligations, fire precautions or suspected breaches following an incident, we provide experienced and strategic legal defence.
Who is a Duty holder?
Under the Fire Safety Order, responsibility for compliance lies with the “responsible person.” This includes any party that has control over the premises. The responsible person is expected to take all reasonable steps to reduce fire risks, ensure suitable fire precautions are in place, and maintain fire safety measures on an ongoing basis.
Food Safety
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The UK’s food safety and hygiene regime imposes strict legal duties on food businesses of every size. Whether operating at a local, national or international level, businesses face rigorous oversight from the Food Standards Agency, local Environmental Health Officers, and Trading Standards. Allegations of non-compliance can result in criminal prosecution, business disruption, reputational damage, and loss of consumer confidence.
At Harold & McCormack Law, we have extensive experience advising and defending food businesses and individuals across the sector.
Responding to investigations and enforcement
Investigations into food hygiene breaches often begin following routine inspections, complaints from the public, food poisoning allegations, or contamination incidents. Local authorities and the FSA have wide-ranging enforcement powers, including the ability to serve improvement or prohibition notices, suspend approvals, seize goods, or prosecute offences under the Food Safety Act 1990 and associated regulations.
We act swiftly to help clients respond to inspection outcomes, challenge enforcement notices, and prepare defence strategies in both civil and criminal proceedings. We also advise on voluntary closures, appeals, and reputational management where urgent action is required.
Health and Safety
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Understanding and complying with health and safety legislation can be challenging and stressful. The sheer volume of complex regulations organisations and individuals must follow means that inadvertent breaches are not uncommon. We know regulatory investigations and enforcement action can be incredibly disruptive to business operations and reputations. Read more >
Inquests and Public Enquiries
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We offer the following legal services to assist our clients through various types of inquests and public inquiries:
- Coroner’s Inquest
- Workplace Fatalities
- Road Traffic Accidents
- Healthcare Inquiries
- Police Conduct Inquiries
- Public Health Inquiries
- Public Inquiries
Judicial Review
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We offer the following legal services to assist our clients through various types of inquests and public inquiries:
- Coroner’s Inquest
- Workplace Fatalities
- Road Traffic Accidents
- Healthcare Inquiries
- Police Conduct Inquiries
- Public Health Inquiries
- Public Inquiries
Ofsted Inspections
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If you are facing an Ofsted investigation, enforcement notice, or adverse inspection outcome, the consequences can be serious, both professionally and operationally. At Harold & McCormack Law, we provide clear, strategic legal support to help you navigate complex Ofsted procedures and protect what matters most: your registration, your reputation, and your ability to continue operating.
Whether you lead a school, nursery, early years or social care provision, our team offers responsive and experienced legal representation throughout every stage of the Ofsted process.
Why Legal Support Matters in Ofsted Investigations
Ofsted has wide-ranging powers to inspect, investigate, and enforce action against education and childcare providers. Investigations may be triggered by complaints, safeguarding concerns, or inspection failures, and the consequences can include:
- Negative ratings that impact funding, reputation, and enrolment
- Enforcement notices such as suspensions or cancellations of registration
- PACE interviews that could result in prosecution or alternative sanctions
- Legal appeals before the Care Standards Tribunal or through judicial review
Taking early legal advice ensures that you fully understand your rights, meet deadlines and take a proactive, informed approach to resolving the situation.
How We Help: Our Legal Services
Challenging Ofsted Reports and Ratings
Unhappy with the outcome of an inspection? If your report contains factual errors or fails to reflect your setting accurately, we can help you submit a factual accuracy challenge or pursue a formal complaint through Ofsted’s internal processes to make sure your voice is heard and your record is fair.
Responding to Enforcement Notices
If you have received a Notice of Intention to Cancel Registration, Restriction Notice, or Suspension of Registration, it is vital to act quickly. We provide clear, confident guidance to help you:
- Understand the legal and operational implications
- Provide strategic advice to achieve the best possible outcome
- Gather evidence and submit a timely and persuasive response
- Explore grounds for appeal or stay of enforcement proceedings
Appeals and Tribunal Representation
If you are looking to appeal an enforcement decision, our team represents clients before the First-tier Tribunal (Care Standards Chamber) and in judicial review proceedings where necessary. We build strong legal arguments and handle all aspects of case preparation, evidence gathering and advocacy.
Representation at PACE Interviews
If Ofsted has invited you to a Police and Criminal Evidence Act (PACE) interview, you will be aware that you are under investigation and suspected of committing regulatory offences. This is a formal legal process, and you are entitled to representation. We ensure your rights are protected and advise you on how to respond effectively while minimising legal exposure.
Proactive Regulatory Compliance
We also work with clients outside of formal investigations, advising on best practice in safeguarding, staff conduct, policies, and governance. Our goal is to help you avoid inspection issues and demonstrate compliance before problems arise.
Product Liability and Consumer Protection
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At Harold & McCormack Law, we provide expert legal advice and representation in all matters relating to the enforcement of Consumer Protection and Trading Standards law. Whether you are a business or an individual facing an investigation, our experienced solicitors are here to help you navigate regulatory enforcement action with confidence and clarity.
We advise and represent individuals, companies, and public bodies in a wide range of areas, including:
- Trading standards investigations
- Product liability issues
- Unfair commercial practices
- Misleading advertising and labelling
- E-commerce and distance selling regulations
- Criminal enforcement
Why choose Harold & McCormack Law
- Specialist Legal Expertise – Our team has in-depth knowledge of consumer protection law and enforcement.
- Tailored Advice – We understand the commercial and reputational stakes and provide bespoke guidance for both businesses and individuals.
- Proactive Defence – We act fast to protect your business and limit disruption.
- Nationwide Representation – We serve clients across England and Wales with discretion and professionalism.
Who we help
- Businesses – Retailers, manufacturers, service providers and importers.
- Individuals – under investigation or at risk of enforcement action.
Time is critical. Early legal advice can prevent enforcement action and reputational harm.
Professional Discipline
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Our experience in regulatory law enables us to provide a comprehensive service, including advice following a Notification of a Complaint, the subsequent response, and representation during formal interviews, as well as related disciplinary and/or criminal proceedings. Read more >
Safeguarding Investigation
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Specialist legal support to education institutions, care providers and professionals involved in safeguarding investigations. Whether you are facing a local authority referral, a regulatory investigation, or a safeguarding concern raised within your organisation, our team will help you navigate the process with confidence and protect your professional standing.
Specialist Advice in Sensitive Safeguarding and High-Stakes Cases
Safeguarding investigations often arise without warning and can have immediate consequences, including suspension, reputational harm, criminal investigation or regulatory enforcement. Allegations relating to the welfare of children or adults at risk of harm are taken seriously by Ofsted, the CQC, local authorities, and employers. Legal advice at an early stage is essential to ensure a fair and lawful process.
- Failure to follow safeguarding procedures
- Neglect, abuse, or harm in care or education settings
- Inadequate recruitment or supervision practices
- Poor reporting, record-keeping, or risk assessment
- Breaches of statutory guidance (e.g. Keeping Children Safe in Education or Working Together to Safeguard Children)
- Non-compliance with safeguarding standards in inspections
We work discreetly and sensitively to manage legal risk while prioritising the interests of children, service users, and professionals.
How We Help
Early Advice and Investigation Support
We assist from the outset of an investigation, helping clients respond appropriately to allegations, manage internal procedures and external engagement with organisations such as:
- Police
- Professional bodies and employers
- Regulatory inspectors
- Barring Service (DBS)
Our role is to ensure that the process is fair, proportionate and grounded in the evidence, not assumptions or reputational pressure.
Representation in Regulatory Investigations
If a safeguarding concern triggers a regulatory investigation, we provide full legal representation. We support clients during:
- Regulatory Inspections
- Interviews under caution (PACE)
- Responses to regulatory notices, compliance action, or suspension of registration
- Legal proceedings
Our lawyers are experienced in dealing with sensitive safeguarding issues and the crossover between regulatory, criminal, and employment law.
Discreet, Strategic Legal Advice, When It Matters Most
Safeguarding investigations require specialist support tailored to the unique sensitivities of each case. At Harold & McCormack Law, we combine legal expertise with a deep understanding of regulated sectors to support clients through complex, sensitive, and high-profile matters.
If you have been notified of a safeguarding concern, are under investigation, or need advice on managing risk within your organisation, speak to our team today.
Reputation & Crisis Management
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Protecting Reputations in a rapidly changing media landscape
In today’s digital age, where news spreads instantly and reputational damage can be long-lasting, effective legal intervention is crucial. At Harold and McCormack Law, we advise individuals and organisations who face reputational threats, whether due to media coverage, online allegations, criminal or regulatory investigations, or other forms of public scrutiny. Read more >