News & Notices

ARDL Annual Dinner: 5 July 2019

We’re delighted to announce the ARDL Annual Dinner 2019 will take place at The Guildhall,  London, on Friday 5th July and our guest speaker will be Sir Robert Francis QC.

Please see the links for further information and booking terms and conditions. Terms & Conditions ARDL Annual Dinner Notice 2019

ARDL Seminar – “Carillion: the fallout – Has the collapse of Carillion precipitated the death of audit as we know it?”

Date: 9 April 2019

Registration: 5.30 pm

Seminar Start Time: 6.00 pm

Venue: Blake Morgan LLP, 6 New Street Square, London, EC4A 3DJ

A seminar and discussion on the regulation of the audit profession following the collapse of Carillion and the publication of the Kingman and the CMA Reports.

Seminar Chair:

Gareth Rees QC

Gareth Rees QC was called to the bar in 1981 and appointed Queens Counsel in 2003. His main practice at the bar was in crime and fraud but he was also instructed in disciplinary and regulatory matters and chairs RFU Disciplinary Tribunals. In 2012 he was appointed Executive Counsel at the Financial Reporting Council with responsibility for investigating and prosecuting auditors, accountants and actuaries for misconduct affecting the UK public interest. Since November 2017 he has been a partner at King & Spalding in its Special Matters team undertaking corporate investigations and advising on criminal, regulatory and disciplinary issues.


Ben Hubble QC

Ben has longstanding experience in disciplinary proceedings against accountants and actuaries dating back to when, as a junior, he prosecuted the Chief Executives of Equitable Life. Ben has been involved in many of the FRC investigations and disciplinary proceedings of the past decade and most recently acted for the finance director in the Equity Red Star case. Ben is a past Chair of the Professional Negligence Bar Association. He is a Senior Decision Maker for the Guernsey Financial Services Commission.

Ben was nominated as the 2017 Chambers UK Bar Professional Discipline Silk of the yearand is highly ranked in the legal directories.

Philippa Hill

Philippa is a Partner in Grant Thornton’s Forensics team and is a Fellow of the ICAEW. She has specialised in accounting investigations and disputes since 2001, prior to which she was an auditor. She has particular experience advising on suspected accounting irregularities and misstatements, and the responsibilities and conduct of directors and auditors in this context, including regulatory and professional disciplinary inquiries. She investigated the role and conduct of auditors and corporate finance advisers to the ‘Phoenix Four��� directors of the MG Rover Group, and gave evidence for the Financial Reporting Council in its first contested tribunal hearing. She has advised on numerous other matters involving suspected accounting irregularities, corporate failures and financial misstatements, including Wickes plc, RBG Resources, the Presbyterian Mutual Society and Equity Red Star.

Philippa also acts as independent expert witness in High Court and arbitration cases, particularly in financial and accounting disputes such as fraudulent misrepresentation and breach of warranty claims, and as quantum expert in other breach of contract or breach of duty matters. She is a transactions disputes specialist and regularly advises parties to deals on negotiating and determining the final equity price in transactions, including expert determination of post-deal disputes.

Duncan Wiggetts

Duncan is Executive Director, Professional Standards at ICAEW.

Duncan qualified as a solicitor in 1992 after obtaining a LLB law degree from Nottingham University in 1989.  After spending an initial period of 10 years in legal private practice specialising in high value commercial disputes and independent investigation work, Duncan joined PwC in January 2001, initially as Director in the EMEA litigation team and subsequently becoming Senior Counsel to the Audit business of the PwC Eurofirms network in January 2005 and a partner in PwC Netherlands.

After leaving PwC in 2009 for another five years back in legal private practice, Duncan joined ICAEW in January 2014 as Director of the Professional Conduct department.  Duncan subsequently moved up to his current position in June 2016. Since 2005, Duncan has written six drama films highlighting dilemmas faced by accountants and directors including the ICAEW films “False Assurance” and “Without Question”.  Duncan’s films have been used in training, shown at events and screened in boardrooms all around the world.

A drinks and canapes reception will follow the seminar.   


Marion Simmons QC Essay Prize 2019

Marion Simmons QC Essay Prize 2019

ARDL is delighted to announce that the annual Marion Simmon QC essay prize is now open to entrants: ARDL 2019 Marion Simmons QC prize announcement

Competition Terms and Conditions:

To be eligible, an entrant must fall into at least one of the following categories (subject to the discretion of the competition organisers to extend eligibility on a case by case basis as they see fit):

• undergraduates or postgraduates in study at a recognised educational establishment in the United Kingdom;
• trainee solicitors in the UK;
• pupil barristers in the UK;
• those training in the UK as part of a Chartered Institute of Legal Executives’ approved training programme;
• solicitors who qualified in the UK and who have been so qualified for fewer than three years;
• barristers called in the UK fewer than three years ago;
• those who qualified with Cilex in the UK and who have been so qualified for fewer than three years;
• those who are taking a period of up to sixteen months as a sabbatical or “gap year” within their undergraduate or postgraduate study or after such study and before starting a confirmed place as a pupil barrister in the UK, trainee solicitor in the UK or Cilex training in the UK.

Entries must be no longer than 2,000 words (word count includes footnotes but excludes bibliography) and should be type-written in the English language. The judges’ decision will be final. Essays must be submitted so as to be received by 5pm on Friday 31 May 2019 by post or email to:

Nicole Curtis, Bates Wells Braithwaite, Queen Street Place, London EC 4R 1BE;

ARDL Seminar – Telling patients the truth when something has gone wrong: the role of regulation in embedding candour among healthcre professionals

Date: 5 March 2019

This seminar will explore the barriers to professionals being candid, what means professional regulators have tried to embed candour among their registrants and thoughts on how a culture of candour can prevail in healthcare. The session will be based on the Professional Standards Authority’s recent research into candour and fitness to practise case studies.



Paul Ozin QC, Chair of ARDL’s Seminar Committee and ARDL’s Vice-Chair

Paul Ozin QC specialises principally in the fields of financial and business crime, regulatory and disciplinary proceedings and related public law and civil actions. He is an established writer and speaker in those fields. He is consistently ranked in the leading legal directories in both regulatory and financial crime categories. He leads the 23 Essex Street Regulatory and Disciplinary team.



Christine Braithwaite, Director of Standards and Policy, Professional Standards Authority

Christine Braithwaite is Director of Standards and Policy at the PSA. She leads the team responsible for providing advice on regulation, setting standards, developing research and encouraging learning and debate. She is also the PSA’s external relations lead.

Christine has previously worked as Head of Investigations and Enforcement at the Care Quality Commission and headed the Healthcare Commission’s healthcare infection inspection programme. She also worked for the Parliamentary and Health Service Ombudsman. She holds a masters in law.

Christine is currently a member of a research and ethics committee for the Health Research Authority and sits as a lay panel member on the Bar Standards Board’s professional conduct committee.


Michael Warren, Policy Adviser, Professional Standards Authority

Michael Warren is a Policy Advisor at the Professional Standards Authority. At the Authority he has worked on a variety policy projects from fitness to practise allegation categorisation to the influence of regulation on professional identity. He also assisted Harry Cayton in his recent inquiry of the College of Dental Surgeons of British Columbia for the Minster of Health of British Columbia. He was previously a Management Consultant at Accenture in the Health and Public Service and Project Co-ordinator at the All-Party Parliamentary Group for Health.



Registration: 5.30 pm

Seminar: 6.00 pm

A drinks and canapes reception will follow the seminar.


We hope you can make it.
Association of Regulatory & Disciplinary Lawyers

ARDL Scotland Seminar Programme 2019

Please use the following link for a list of upcoming seminars this year in Scotland: ARDL Scotland Seminar Programme

Manchester Supper Seminar: Is Dishonesty More Serious Than Homicide?

Date:   5 February 2019

Venue:   Tattu Restaurant and Bar, Gartside Street, 3 Hardman Square, Spinningfields, M3 3EB

Speaker:   Robert Lazarus, of 39 Essex Chambers



Registration:   5.30 pm

Seminar:   6.00 pm

Drinks & Small Plate Food:   7.00pm



We are delighted to welcome Robert Lazarus, of 39 Essex Chambers, as our speaker for the first Manchester Supper Seminar of 2019.  Join us for a really interesting topic and what is sure to be a lively debate.

Prior to being called to the Bar, Robert practised medicine up to the level of an NHS Consultant.  He also worked for the Medical Protection Society.  Robert Lazarus practises in the areas of professional discipline, clinical negligence, serious medical treatment and personal injury.  He is also instructed in relation to inquests, professional negligence, product liability and insurance law.  In respect of his professional disciplinary practice, Robert is regularly instructed by a range of healthcare and other professionals.  He has appeared before the majority of statutory healthcare regulators. He also has experience of the Solicitors Disciplinary Tribunal, the Architects Registration Board, the Royal College of Veterinary Surgeons and the Gangmasters and Labour Abuse Authority.

Robert sits in a number of jurisdictions, including as a Recorder (Crime and Civil) and as a Chair of the Police Appeals Tribunal.

Junior ARDL Round Table Event – Skills and Knowledge For Onward Progression

Date:   24 January 2019

Venue:   23 Essex Street Chambers, London, WC2R 3AA

Format:   Round-table expert led discussion

Chair:   Gary Burton, Junior ARDL



Time: 5:30pm registration

Seminar: 6:15pm – 7:15pm

Refreshments: canapés, tea/coffee, wine, beer and soft drinks – 7:15pm



Junior ARDL is continuing its regular series of seminars to provide those who are less than 10 years qualified with opportunities to develop essential skills in regulatory proceedings.

This event will take the format of a series of ‘topic tables’, each one chaired by a senior practitioner, with the evening covering a range of topics including:

Do’s and don’t’s from a panel member’s perspective

 Vulnerable witnesses and registrants

 Lawyer to Leader

 The role of the Legally Qualified Chair

 Witness Handling: calling and challenging expert evidence

 Navigating your Successful Journey to Judicial Appointment

 Our senior speakers who will chair the tables and lead the discussions are:


Robert Slack has been a member of the Solicitors Discipline Tribunal since 2009. He is currently on the Lay Member Qualifications Committee and Bar Standards Board. Robert was previously a Council Member, screener and member of Fitness to Practise Committee, General Medical Council (1999-2008); Chair of Professional Behaviour Committee (2006-2008) and Investigating Officer for Medical and Dental Undergraduate Fitness to Practise, Bristol University (2008-2013); Examiner, Royal College of Surgeons; Consultant ENT Surgeon.


Rachel Birks is a partner in the Regulatory Team at Ward Hadaway and has specialised in Regulatory Law and Professional Discipline for the last 16 years. She sits as a Legally Qualified Chair at the Medical Practitioners Tribunal Service, is a member of the ARDL committee and is part of the Assurance Team at St John Ambulance.


Manjula Bray is a motivated business psychologist, facilitator, consultant and executive/career coach. Manjula communicates credibly and effectively to enhance people performance at an individual and organisational level. Manjula has worked in partnership in a range of sectors and organisations.


Nimi Bruce was called to the Bar in September 1999 and practised for 7 years at the Criminal Bar, undertaking prosecution and defence work in the Crown Court. After Nimi left the Criminal Bar she worked in house for the General Medical Council preparing and presenting cases before fitness to practise panels, with an emphasis on advocacy work. At Capsticks Nimi undertakes fitness to practise work for a variety of regulators, including the GPhC, GDC, GCC, GOsC and SRA. As well as overseeing all aspects of investigatory casework, Nimi also regularly appears before a variety of different committees and panels, prosecuting regulatory cases including sexual misconduct cases, complex frauds and serious cases of deficient professional performance.


Leanne Wild is a Leadership Coach who works with accomplished lawyers and business leaders to expand their impact and ability both personally and professionally. She is also a trainer for the International Coaching School iPEC (Institute for Professional Development in Coaching) and she is the co-founder of WELead events.


Kate Lumdson QC practises principally in crime but undertakes regulatory and quasi criminal work. She took silk in 2018. She has dealt with experts in a variety of disciplines both in chief and cross-examination.


ARDL Seminars qualify for CPD.  Please remember to sign the relevant CPD sheets at the seminars.

ARDL Seminar: “Has the relationship between Regulators and the Courts changed?” touching on GMC v Bawa Garba and SRA v Day

Date:   23 January 2019

Venue:   Blake Morgan LLP, 6 New Street Square, London, EC4A 3DJ


Registration: 5.30 pm

Seminar: 6.00 pm


Vikram Sachdeva QC: who will address the issues arising from the Bawa Gaba case.

James Ramsden QC: who will address the issues arising from the Leigh Day case.


The Rt. Hon. Lord Dyson (former Master of the Rolls and former Justice of the Supreme Court of the United Kingdom)

ARDL Winter Bulletin 2018

ARDL Winter Bulletin

ARDL Seminar: Legal Professional Privilege in Regulatory Investigations and Proceedings

Venue: Clyde & Co, The St Botolph Building, 138 Houndsditch, London EC3A 7AR

Registration: 5.30pm

Seminar: 6.00pm

Speakers: Bankim Thanki QC and Tamara Oppenheimer of Fountain Court Chambers

Chair: Richard Coleman QC of Fountain Court Chambers


The speakers will discuss:

  • Key conclusions and implications of Serious Fraud Office v ENRC (both speakers appeared for ENRC in the Court of Appeal)
  • How to try to conduct an internal investigation whilst preserving privilege


About the speakers:

Bankim Thanki QC and Tamara Oppenheimer are respectively editor and co-author of Thanki, The Law of Privilege published by Oxford University Press (now in its third edition) and between them have appeared in some of the leading cases on privilege (ENRC v SFO, Three Rivers, Prudential and Gotha City v Sotheby’s). They frequently advise on privilege issues arising in connection with regulatory and criminal investigations, as well as in civil and criminal proceedings. Recognised as one of the pre-eminent Silks practising at the English Commercial Bar, Bankim has acted in a number of major investigations and inquiries including for the Bank in England in Three Rivers, for the Phoenix Four in the disciplinary proceedings brought by the Financial Reporting Council following the collapse of MG Rover and for the Central Bank of Trinadad & Tobago in the public inquiry into the collapse of Colonial Life Insurance. Tamara is an eminent junior with a broad commercial and civil practice who is highly recommended in the directories for commercial dispute resolution, banking and finance, professional negligence and aviation. Both Bankim and Tamara advised Barclays Bank in connection with the SFO investigation into the 2008 Qatar capital raise.

Email to book your space

ARDL Manchester Supper Seminar

Thursday 6 September 2018

Professional Discipline Case Law Update Sponsored by Ward Hadaway



Ward Hadaway, The Observatory, Chapel Walks, Manchester, M2 1HL



5.30 Registration and drinks

6.00-6.45 Seminar

6.45-8.00 Drinks and a hot supper prepared by Sam’s Chop House


The Manchester ARDL Supper Seminar Series continues in September with an update on recent professional disciplines cases delivered by four Manchester based regulatory practitioners who specialise in professional discipline.




Rachel Birks, Ward Hadaway

Rachel is a Partner in the regulatory team at Ward Hadaway, specialising in professional regulation and public law.   She also sits as a Legally Qualified Chair at the Medical Practitioners Tribunal Service. Rachel  advises both regulators and those who are regulated primarily in the fields of healthcare, social care, childcare and has worked in the sector for 15 years.  Rachel  is a member of the ARDL Committee and Seminar Sub-committee.


Clare Chapman, BLM

Clare is a Partner at BLM.  She qualified in 2000 and has practised in regulatory law since 2001.  She advises and represents members of the healthcare professions in regulatory, disciplinary and criminal investigations, inquests and public inquiries.   Clare is a member of the ARDL Committee.


Rachel Cooper, CMS Cameron, McKenna, Nabarro Olswang LLP,

Rachel is a Partner at CMS and since 2006 has specialised in professional disciplinary and regulatory law. Rachel acts for both the regulators and regulated individuals in disciplinary proceedings. Rachel is a former member of the ARDL Committee.


Joanna Shaw, General Medical Council

Joanna is a Senior Policy Lawyer at the General Medical Council, based in Manchester. She has  over 12 years’ experience acting for a number of regulatory bodies in the health and social care, legal and electoral/political fields. She has been working in an in-house capacity for the General Medical Council since 2013, providing advice on the development and implementation of policy and legal change. Joanna is a member of the ARDL Committee.

Junior ARDL Seminar: Key Topics in Regulatory & Disciplinary Proceedings

Date: Monday 11 June 2018
Venue: Weightmans LLP, Hardman Square, No 1 Spinningfields, Manchester M3 3EB
Format: Round-table expert led discussions
Chair: Joanne Harrison, Junior ARDL



Junior ARDL is continuing its regular series of seminars to provide those who are less than 10 years qualified with opportunities to develop essential skills in regulatory proceedings.

This event will take the format of a series of ‘topic tables’, each one chaired by a senior practitioner, with the evening covering a range of topics including:


The GMC’s right of appeal under s40A Medical Act 1983 – experience to date’

 ‘Characteristics of First-Tier Tribunal Advocacy’

‘The different healthcare regulators – what does it take to be struck off?’

‘Character (good and bad) at stage 1. Time to start applying basic principles?’

‘Wingate and Evans v SRA, the evolution of the mental element’

Our senior speakers who will chair the tables and lead the discussions are:

Jim Percival, GMC (

Tim Grey, 23 Essex Street

David Pojur, St Johns Buildings

Rachel Birks, Ward Hadaway

Robin Kitching, Deans Court Chambers


Event details

Date: Monday 11 June 2018
Time: 6.00pm Registration followed by canapes & drinks
Seminar: 6.30pm – 7.30pm;

Refreshments: tea/coffee, wine, beer and soft drinks – 7.30pm
Venue: Weightmans Manchester

ARDL seminars qualify for CPD. Please remember to sign the relevant CPD sheets at the seminars.


ARDL Seminar: Dishonesty & Integrity post-Ivey and Evans and Wingate

Date: 14 June 2018

Venue: Blake Morgan LLP, 6 New Street Square, London, EC4A 3DJ

Speakers: Richard Coleman QC, of Fountain Court Chambers, and Paul Ozin QC, of 23 Essex Street


ARDL’s Seminar series continues with an update and reflections on the legal landscape following in the wake of the two recent landmark decisions in this area: the Supreme Court’s decision in Ivey v Genting Casinos (UK) on the test for dishonesty and the Court of Appeal Civil Division’s decision in Wingate & Evans v SRA; SRA v Malins on the test for integrity in SRA proceedings. We are delighted to have two of the leading practitioners in the field of professional discipline discussing this topic at our event.

Speakers – Our speakers have both spoken for us on a number of occasions, on the law relating to dishonesty/ integrity directions as the law has rapidly developed in recent years.

Richard Coleman QC, Fountain Court, is a leading practitioner in the fields of commercial dispute resolution, banking, financial services and professional discipline. He represented the SRA in Wingate & Evans v SRA; SRA v Malins.

Paul Ozin QC, 23 Essex Street, is a leading practitioner in financial and business crime, regulatory and disciplinary proceedings and related public law and civil actions. He has written and presented widely on this topic, most recently at his seminar for the ARDL Manchester Supper Club.



6.00 pm: Registration/tea/coffee

6.30 pm – 7.30 pm: Seminar

7.30 pm: Drinks and canapés


Share this event on Facebook and Twitter. We hope you can make it.

Association of Regulatory & Disciplinary Lawyers

ICAEW Position

Disciplinary Tribunal Chairs (legally qualified)

ICAEW is a world leading professional membership organisation that promotes, develops and supports more than 149,000 members worldwide. ICAEW members are expected to act in accordance with all laws and regulations and to meet the highest ethical and technical standards. We are seeking to appoint at least two legally qualified Tribunal Chairs from June 2018 for an initial term of three years. As well as chairing tribunals and ensuring that they adhere to the Disciplinary Committee regulations, the Chair will be expected to determine any legal issues which arise in the course of tribunal hearings and to draft the formal Record of Decision for agreement with the other tribunal members. Further details are available via this link and in the latest issue of Counsel magazine.

ARDL Winter Bulletin 2018

Please see attached ARDL Winter 2018 bulletin: Winter 2018 Bulletin

ARDL Seminar Programme and Membership renewal 2018

We’ve launched our 2018 Seminar Programme with seminars across the UK and our annual membership in now open. Please see the attached for more information:

2018 Seminar Programme
Membership renewal notice

NMC Position

Do you want to work at the heart of public protection?

The Nursing and Midwifery Council are looking to recruit two new regulatory policy lawyers to join their General Counsel team. The roles have been created to provide legal advice and support to the Registration & Revalidation and Education, Standards and Policy Directorates on a wide range of new initiatives and programmes including the new Nursing Associate role, modernising the standards for education and training for nurses and midwives, and improving our registration processes.
To find out more please visit:–regulatory-policy/. Closing date is midday on 7 February 2018.

ARDL’s Autumn Bulletin

Please follow the link for ARDL’s Autumn Bulletin 2017:

Autumn Bulletin 2017


We’re Social!

ARDL is working with an active social media presence to create awareness of its events and news and to share professional regulation information, useful cases and best practice.  Please follow us on LinkedIn and Twitter using the links below:

twitter  download (1)

ARDL 2018 Marion Simmons QC Prize announcement

Entries are now open for the Marion Simmons QC Essay Competition.

The question is:

The purpose of regulation is the protection of the public, not to act in the public interest: discuss.

Essays must be submitted so as to be received by 5pm on Friday 20 April 2018.

Please see the attached flyer for further details and the terms and conditions: ARDL 2018 Marion Simmons QC prize announcement

ARDL Seminar: The Senior Managers and Certification Regimes: lessons learned and the proposed extension to all financial services firm

Date: Thursday 2 November 2017 at 5.30pm

Venue: Blake Morgan offices, London  

Speakers: Richard Leiper QC and Thomas Ogg

(Editors of ‘Conduct and Pay in the Financial Services Industry’)

Chair: Richard Coleman QC

Followed by: Discussion, questions and refreshments


The ARDL seminar programme continues with this seminar considering the extension of the Senior Managers and Certification Regimes (SMCR) to all firms regulated by the FCA and PRA, in the light of the issues that arose in its implementation within banks and insurers.

The speakers will focus on the new regime to be applied by the FCA to around 47,000 firms in 2018/19, firms, which include asset managers and the large consumer credit sector, and outline the challenges those firms face in implementing the new regime.  The ‘lessons learned’ from the SMCR’s implementation within banks that will be considered, including issues relating the allocation of responsibility amongst senior managers, tricky issues with regulatory references and employee exits, the practical implementation of the certification regime and the way in which the new conduct rules structure the way in which a firm must now think about misconduct.

There will be time for questions and discussion. Refreshments will be served at the conclusion. Demand is expected to be high, so please register your interest as soon as possible.

Chair: Richard Coleman QC []


Richard Leiper QC specialises in employment, commercial and financial services regulation

Tom Ogg is a barrister focusing on professional regulation and employment matters in the financial services industry .

Tom and Richard are the Editors of ‘Conduct and Pay in the Financial Services Industry’ (2017, Lloyds Commercial Law Library), which focuses on the SMCR.

Event details:

Date: Thursday 2 November 2017

5.30pm: Registration & tea/coffee

6 -7.30pm: Seminar

7.30pm: Refreshments

Venue: Blake Morgan, 6 New Street Square, London EC4A 3DJ


ARDL seminars qualify for CPD. Please remember to sign the relevant CPD sheets at the seminars.


RICS – Recruitment

RICS, the global professional body for the surveying profession, is recruiting a solicitor or barrister to prepare and present disciplinary proceedings, and provide advice and support to our internal investigation team. The role will be based in Birmingham and full details can be found at

Bankside Law – Healthcare Defence Disciplinary Solicitor/Senior Paralegal Maternity Cover Required

Bankside Law – Healthcare Defence Disciplinary Solicitor/Senior Paralegal Maternity Cover Required

Bankside Law are looking for an experienced solicitor or senior paralegal in the healthcare disciplinary defence field for maternity cover. Self-employed or one year fixed term contract considered with flexible part time arrangements if required and attractive salary. Preferably to start end of October 2017 but will consider earlier for suitable candidate. Email .


Spring/Summer 2017 Bulletin

Please follow the link for ARDL’s Spring/Summer Bulletin 2017:

Spring/Summer Bulletin 2017

ARDL Seminar: Integrity Allegations in Disciplinary Proceedings

ARDL Seminar: “Integrity Allegations in Disciplinary Proceedings”

Date: Thursday 20th July 2017 at 5.30pm

Venue: Herbert Smith Freehills LLP, London

Chair: Timothy Dutton, CBE, QC

Speakers: Richard Coleman QC, Fountain Court Chambers, Paul Ozin QC, 23 Essex Street Chambers; Gregory Treverton-Jones QC, 39 Essex Street Chambers;

Followed by: Discussion and Questions and Refreshments



ARDL is continuing with its series of seminars looking at the subject of dishonesty in disciplinary proceedings by focusing in this seminar on the turbulent and rapidly developing case law on the linked topic of ‘integrity allegations in disciplinary proceedings’. The speakers will each talk from their own perspective on how integrity is being dealt with in disciplinary proceedings and the way in which it may be associated with allegations of dishonesty.


Timothy Dutton CBE, QC: Tim is one of the Bar’s best known Silks in the field of professional discipline and is ranked in both Chambers UK & Legal 500 as a leading Silk and a Star Individual in Professional Discipline.  He has undertaken a large number of high profile cases and is described as a doyen of the bar when it comes to professional conduct.”  Tim is a former Chair of ARDL and former Chair of the Bar Council. He was Head of Chambers at Fountain Court from 2008-2013.


Richard Coleman QC, Fountain Court Chambers: Richard Coleman QC is a leading practitioner in the fields of commercial dispute resolution, banking, financial services and professional discipline. His practice has ranged across some of the most important commercial, banking and regulatory disputes of the day, including the Bank Charges litigation, the PPI judicial review, the FCA’s investigation into LIBOR manipulation and the mis-selling of interest rate hedging products.

Paul Ozin QC, 23 Essex Street Chambers: Paul Ozin QC specialises principally in the fields of financial and business crime, regulatory and disciplinary proceedings and related public law and civil actions. He is an established writer and speaker in those fields. He is consistently top ranked in the leading legal directories. Paul leads the 23 Essex Street Regulatory and Disciplinary Team and is Chair of the ARDL Seminar Sub-committee. He has written in the ARDL Bulletin on the subject of dishonesty directions and spoke last year in the related ARDL seminar, chaired by Mostyn J, on that subject.

Gregory Treverton-Jones QC, 39 Essex Street Chambers: Greg Treverton-Jones QC specialises in regulatory and disciplinary issues concerning legal professionals. He has appeared in many of the leading cases on the topic, both for the regulators and Respondents. He is co-author of Disciplinary and Regulatory Proceedings (8th edition, 2015), co-author of successive editions of The Solicitor’s Handbook (2008-2017) and is an editor of Cordery on Legal Services.

The seminar will be followed by a panel discussion and there will be plenty opportunity for questions from the audience. Refreshments will be served at the conclusion.

Event details:

Date: Thursday 20th July 2017

Time:    Registration & tea/coffee – 5.30pm

Seminar: 6pm – 7.30pm;

Refreshments: 7.30pm

Venue: Herbert Smith Freehills LLP, Exchange House Primrose Street London EC2A 2EG

ARDL seminars qualify for CPD. Please remember to sign the relevant CPD sheets at the seminars.

Please email to reserve your space.

Chair’s Annual Report to AGM on 19th April 2017.

Please see link to the Chair’s Annual Report on 19th April 2017: CHAIR’S-ANNUAL-REPORT-TO-AGM-19th-APRIL-2017

New ARDL Committee following 2017 AGM

The Association of Regulatory and Disciplinary Lawyers has a new committee following the Annual General Meeting on 19th April 2017. Five new committee members were elected at the AGM. At the first committee meeting following the AGM, the office bearers were elected, three new members were co-opted and two ex officio appointments were made.

The committee members elected at the AGM were Richard Coleman QC, Hannah Eales, Joanne Harrison, Iain Miller and Paul Ozin QC.

The elected office bearers are Catriona Watt – Chair; Iain Miller – Vice-chair; Nick Leale – Treasurer; Hannah Eales – Secretary.

Nick Leale, Vikram Sachdeva QC and Rachel Birks were co-opted onto the committee. Ex officio members are Kenneth Hamer and Leigh Linton.

The committee is also assisted by Paul Ozin QC as Chair of the Seminar Sub-committee, Joanne Harrison as the Chair of Junior ARDL, John Lucarotti as Membership Liaison and Kenneth Hamer and Nicole Curtis as ARDL Bulletin Editors.

Notice of ARDL Annual General Meeting 2017

Please note that ARDL’s AGM will be held on 19 April 2017 at 5.30pm. Any fully paid up ARDL member may attend the AGM. Please see below for venue and nominations for election to the committee.


The venue will be the offices of Weightmans who are offering a choice of three locations to attend the AGM.

  1. London – 6 New Street Square, New Fetter Lane, London, EC4A 3BF
  2. Manchester (by video link to London) – 3 Piccadilly Place, Manchester, M1 3BN
  3. Glasgow (by video link to London) – 144 West George Street, Glasgow G2 2HG

AGM Business

The meeting will include consideration of the Association’s Annual Report and audited accounts and the election of committee members.

Committee elections – Nominations

The following have been duly nominated to stand for election to the committee. For full information and biographies, please see links below. There are five places available for election. The vote will take place at the AGM. Only those in attendance and are paid ARDL members may vote.

  1. Joanne Harrison, Weightmans LLP
  2. Rachel Birks, Ward Hadaway
  3. Richard Coleman QC, Fountain Court
  4. Iain Miller, Kingsley Napley LLP
  5. Ravi Gupta, Hempsons
  6. Nicole Ridgwell, Ridouts Solicitors
  7. Paul Ozin QC, 23 Essex Street
  8. Hannah Eales, Kingsley Napley LLP
  9. Leigh Linton, Carson McDowell LLP

There will be a drinks reception afterwards for those attending the meeting. If you wish to attend the meeting, at any of the venues, would you kindly inform us on in order that we can monitor numbers.

The Information Commissioner’s Office (ICO) are recruiting their new General Legal Counsel

The Information Commissioner’s Office (ICO) are recruiting their new General Legal Counsel

Deadline: Wednesday 26th April at midnight

Hays Executive are supporting the ICO, based in Wilmslow, in their search for an experienced lawyer as the final member of their executive management team as they manage significant internal transformation during the Brexit process. This role will be critical to the UK’s interpretation and implementation of the Law Enforcement Directive (GDPR and Directive (EU) 2016/680) through the ICO, as well as providing high-level, risk-based advice to the Commissioner, Elizabeth Denham, and the wider organisation on legal matters.

Interested, or do you know a contact who could be? Please contact Sam on +44 (0)113 2003733 for a confidential discussion or email him at as soon as possible.

BSB Position: Casework Manager (Maternity Cover, 12 months)

BSB: Casework Manager (Maternity Cover, 12 Months)

High Holborn, London

Up to £50,000 pa (depending on skills and experience) Plus a benefit allowance of £1,300 per annum

The Bar Standards Board (BSB) Investigations and Hearings team is responsible for investigating complaints against barristers, taking disciplinary or other action on behalf of the Professional Conduct Committee.

We would looking to appoint two full time roles, a Casework Manager and Senior Case Officer, for a qualified barrister, solicitor (or equivalent) within the team. Both roles will process a caseload including the most complex of cases and be responsible for case preparation including investigating complaints, drafting charges and reports, gathering evidence and preparing bundles, corresponding with barristers, complainants and witnesses. They will also be required to attend hearings and support counsel in the prosecution of cases and appeals before the High Court.

In addition to the above, the Casework Manger will be responsible for one unit within the team, comprising of three case officers. They will be required to supervise and manage the performance of staff.

Experience of legal procedures or litigation and substantial experience of casework is essential, as is the ability to work effectively as part of a team, sharing knowledge and supporting other members of staff.  Knowledge of regulatory procedures and experience of working for a regulator is desirable but not essential.

The ability to manage a small team in a co-operative and supportive environment is also essential for the Casework Manager role. Applicants for both roles must be a qualified solicitor or barrister (or common law equivalent), entitled to practice and have excellent IT, communication and organizational skills.

In return the Bar Standards Board offers excellent terms and conditions of employment, including:

  • Up to 31 days annual leave
  • Up to 14% employer’s pension contribution
  • Enhanced maternity and paternity pay
  • Life cover, and more

For more information about this role please click on the apply button. All candidates are required to apply online, CVs will not be accepted.

Candidates with a disability who require reasonable adjustments should contact, Michela Scarpa on 0207 611 1460. The Bar Standards Board operates the ‘two ticks’ scheme.  Candidates with a disability who meet the essential criteria for this role will be guaranteed an interview under this scheme.

Closing Date:  18 April 2017 at Midday

Proposed Interview Date:  Week commencing 24 April 2017