Criminal And Regulatory Investigations And Your Employment

The conduct behind the criminal case may trigger disciplinary proceedings. What you say in your disciplinary proceedings and how you manage the process may influence your criminal case. For instance, if you admit something as part of your disciplinary proceedings, or offer to compensate your employer for wrong doing this could have a consequence for your criminal matter.

Many employees are subject to regulation by a professional regulatory body. Each regulator will have rules as to conduct. Certain types of misconduct, and certainly criminal investigations, convictions or cautions are likely to raise fitness to practise issues. The issues that bring about a criminal investigation may also lead a regulator to carry out its own investigation and proceedings follow. This may occur even if you are not charged or acquitted.

Our Employment Solicitors regularly work alongside our Criminal Defence and Financial Crime & Regulatory solicitors as issues for clients start to become very closely entwined. The same facts could lead to criminal investigation, disciplinary proceedings by the employer and regulatory proceedings by the professional regulator. It is important all these different elements are carefully considered and first class and holistic legal advice and representation obtained.

Our legal teams at Hodge Jones & Allen

Ruth Harris heads up our Financial Crime and Regulatory Team and the Head of our Employment Team is Susie Al-Qassab. Both partners are highly experienced in their specialist areas of law. They work successfully together to achieve positive outcomes for their clients

• Our Financial Crime and Employment Solicitors together advised and assisted an employee of a major international financial services firm in navigating and responding to an investigation for potential insider-dealing and disciplinary proceedings for conduct breaches. The criminal aspect did not proceed and the disciplinary proceedings upheld only in part and limited to a first written warning. We also advised on his rights relating to the subsequent notification to the Financial Conduct Authority (FCA) and regulatory reference requirements.

• Our Employment Team acted for a former Chief Executive facing an employment tribunal after named personally as a Respondent. As part of his case, he needed advice on the criminal implications of his opponent’s behaviour so that could inform his own pleadings and we were able to get the case against him struck out.

• Hodge Jones & Allen acted for a client under investigation for serious sexual misconduct. He required help on the regulatory implications, following the accusation, as he was a regulated professional. In addition, he needed advice from the employment team when his partners attempted to remove him from the partnership.