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Frequently Asked Questions

Regulatory investigations and enforcement action can arrive without warning. For many businesses, directors and professionals, the first contact with a regulator can be confusing and stressful. Questions arise quickly – what should you do next, do you need a solicitor, and could you be personally liable? Below are answers to some of the most common questions we are asked by businesses and individuals facing regulatory investigations, workplace incidents and professional disciplinary proceedings. While these answers provide general guidance, every situation is different. If you need advice about a specific matter, please contact us in confidence at enquiries@haroldandmccormacklaw.com or call 0203 745 2456.

Typically, the Health and Safety Executive (HSE), police or the regulatory authority will begin an investigation. This may include site inspections, document requests, interviews under caution, enforcement action and potentially criminal proceedings.

An internal investigation examines suspected misconduct, regulatory breaches, fraud, whistleblowing concerns, or governance failures within an organisation.
Corporate manslaughter is an offence where an organisation’s gross breach of a duty of care results in a person’s death. Investigations are complex, high risk and often involve multiple agencies.

Absolutely. We regularly act for directors, senior managers, professionals and regulated individuals where investigations overlap with criminal or disciplinary investigations.

Yes. Individuals may face personal criminal or regulatory liability alongside the organisation. Independent legal advice for individuals is often essential.
Both. We advise organisations and individuals who are the subject of investigations ensuring interests are clearly defined and protected.
As soon as possible. Early legal advice often makes a significant difference to how an investigation progresses and whether charges are brought.

Early involvement allows us to:

  • Control how information is provided
  • Protect legal privilege
  • Manage interviews and evidence gathering
  • Reduce reputational and regulatory exposure
Yes. We regularly coordinate legal strategy with communications and reputation management professionals to protect both legal and reputational interests.

In many cases, yes. We frequently assist clients in identifying and accessing legal expenses cover under existing insurance policies.

An interview under caution means the police suspect you of involvement in a criminal offence. Anything you say can be used as evidence. Legal advice at this stage is critical, even if you believe the matter is minor or that you have nothing to hide.

Yes. Even if the interview is described as ‘voluntary’, it is still likely to be conducted under caution and may lead to criminal charges. Having a solicitor ensures your rights are protected and that you do not unintentionally damage your legal position. We provide representation at police stations across the UK, advising you before the interview, attending with you and intervening where necessary to protect your interests.

This depends entirely on your circumstances. We will advise you on the most appropriate strategy after reviewing the evidence and allegations. There is no ‘one size fits all’ answer.

Harold & McCormack Law is a specialist law firm focused on regulatory defence, corporate crime and crisis-response legal work. We represent businesses, directors, professionals and individuals facing regulatory investigations, workplace incident investigations, professional discipline proceedings, inquests and public inquiries.
The firm is led by founding solicitor Ashleigh Harold, who has more than 25 years’ experience advising businesses and individuals in complex regulatory and criminal investigations.
We are a boutique practice focused on regulatory defence and investigations. Our work is centred on supporting clients during serious incidents, regulatory scrutiny and high-stakes legal situations where early advice and strategic defence are critical.
Yes. We represent clients throughout the United Kingdom and regularly support organisations and individuals across multiple regulated sectors.
Yes. We act for companies, directors, senior managers and professionals. In many investigations both organisations and individuals may require representation.

A regulatory investigation occurs when a regulator examines whether a business or individual has breached legal duties or regulatory standards. Investigations may arise after workplace incidents, complaints, inspections or suspected misconduct.

We regularly represent clients dealing with regulators such as the Health and Safety Executive (HSE), local authorities, Ofsted, the Care Quality Commission (CQC), Serious Fraud Office (SFO), His Majesty’s Revenue and Customs (HMRC), environmental regulators and professional disciplinary bodies.

You should seek legal advice before responding formally or attending interviews. Early advice helps ensure the correct information is provided and protects your legal position from the outset.
Yes. Directors, managers and professionals can face personal liability in certain circumstances. Regulators may pursue criminal prosecutions, professional disciplinary action or director disqualification proceedings.

The length of an investigation can vary widely depending on the complexity of the case. Some investigations conclude within months, while others can take significantly longer, particularly where serious incidents or complex evidence are involved.

A serious workplace incident may trigger an investigation by regulators such as the Health and Safety Executive or local authorities. Investigators may visit the workplace, request documents, interview witnesses and review company procedures.
An HSE investigation is conducted to determine whether health and safety law has been breached following a workplace incident. Inspectors may gather evidence, interview staff and review safety procedures to determine whether enforcement action is appropriate.
An interview under caution is a formal interview conducted as part of a criminal investigation. Statements made during the interview can be used as evidence in court proceedings, which is why legal representation is strongly recommended.
Yes. In certain circumstances directors and senior managers may face personal criminal liability if regulators believe they failed to meet their legal responsibilities or were involved in decisions that contributed to the breach.
You should seek legal advice as early as possible, ideally before providing formal statements or attending interviews. The first 24 to 48 hours after an incident can be particularly important in protecting your position.
Professional discipline refers to investigations conducted by regulatory bodies into whether a professional has breached professional standards, codes of conduct or regulatory rules.
We represent a range of professionals including directors, healthcare professionals, managers, educators and individuals working in regulated industries who may face disciplinary proceedings.
A regulator may investigate allegations, gather evidence and invite the professional to respond. In some cases the matter may proceed to a disciplinary hearing where sanctions may be considered.
Yes. Disciplinary findings may result in warnings, restrictions, suspension or removal from a professional register depending on the outcome of the proceedings.
In many situations regulatory decisions may be challenged through appeals, tribunal proceedings or judicial review depending on the circumstances.
A coroner’s inquest is an investigation into the circumstances surrounding a death. The inquest aims to determine who died, and how, when and where the death occurred.
Legal representation is not always mandatory, but inquests can involve complex evidence and legal issues. Many organisations and individuals choose to instruct a solicitor to help protect their interests during the process.
Public inquiries are formal investigations established to examine matters of significant public concern. They often involve detailed examination of events and may hear evidence from numerous witnesses.
Businesses, organisations, public bodies and individuals may all be required to provide evidence or participate in public inquiries depending on the subject of the investigation.
The cost of legal advice depends on the complexity and scope of the case. We provide clear information about fees and discuss the most appropriate approach before commencing work.
In some cases legal expenses insurance may cover the cost of representation. This may be included within business insurance policies or professional indemnity insurance.
Yes. We can review your insurance arrangements to determine whether legal expenses cover may apply and assist with notifying insurers if necessary.
We will arrange a confidential discussion to understand your situation and review the available information. We can then advise on the appropriate next steps and how we can assist.
Yes. All enquiries are treated with strict confidentiality and handled with discretion.
Regulatory investigations and incidents often require urgent legal advice. We aim to respond promptly to enquiries where immediate assistance is required.
You should seek legal advice as soon as you become aware of a workplace incident, regulatory investigation, enforcement action or professional disciplinary issue. Early legal advice can make a significant difference to the outcome.

Contact Harold & McCormack Law

If you are facing a regulatory investigation, workplace incident, professional disciplinary matter or enforcement action, early legal advice can be critical.

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