Licensing, regulatory and enforcement law barrister advice

Licensing and regulatory decisions can affect a person’s livelihood, professional reputation or ability to operate a business. Regulatory investigations and enforcement action may also lead to financial penalties, restrictions, licence revocation or criminal proceedings.

Barristerly provides a straightforward way to obtain focused online advice from an experienced Public Access barrister about licensing, regulatory and enforcement matters in England and Wales.

The barrister can help you understand the relevant rules, assess the evidence and available grounds of challenge, and decide what practical steps to take next.

Licensing and regulatory matters we may be able to help with

Alcohol and premises licensing

Businesses and organisations may require authorisation to sell alcohol, provide regulated entertainment or offer late-night refreshment.

A barrister may advise on:

• applications for premises licences;

• applications for personal licences;

• designated premises supervisors;

• club premises certificates;

• temporary event notices;

• applications to vary a licence;

• minor and full variations;

• extensions or changes to permitted hours;

• licence conditions;

• objections and representations;

• applications for review of a premises licence;

• summary reviews;

• suspension or revocation;

• closure orders;

• alleged breaches of licensing requirements; and

• appeals against licensing decisions.

Advice may be available to licence holders, applicants, responsible authorities, residents or other parties affected by an application or review.

Licensing hearings and reviews

Where relevant objections or representations are made, the licensing authority may hold a hearing before a licensing subcommittee.

A barrister may advise on:

• whether representations are legally relevant;

• the licensing objectives;

• evidence of crime, disorder, nuisance or public-safety concerns;

• protection of children from harm;

• operating schedules;

• proposed or existing licence conditions;

• proportionality of the authority’s proposed response;

• preparation of written representations;

• the procedure at the hearing;

• available outcomes;

• reasons given for the decision; and

• the prospects and procedure for an appeal.

Entertainment and late-night refreshment

Licensing requirements may apply to music, performances, films, events and the supply of hot food or drink during specified hours.

Advice may concern:

• whether an activity requires authorisation;

• live or recorded music;

• dance and other performances;

• film exhibitions;

• indoor sporting events;

• late-night food and drink;

• temporary events;

• exemptions;

• licence conditions;

• alleged unauthorised activity; and

• enforcement following an alleged breach.

Taxi and private-hire licensing

A refusal, suspension or revocation of a taxi or private-hire licence can have an immediate effect on a person’s livelihood or business.

Advice may cover:

• driver, vehicle and operator licences;

• new applications and renewals;

• whether an applicant or licence holder is fit and proper;

• the relevance of convictions, cautions or allegations;

• medical fitness;

• safeguarding concerns;

• driving history;

• complaints from passengers;

• vehicle standards and conditions;

• alleged breaches of licence conditions;

• immediate suspension or revocation;

• local-authority licensing policies;

• procedural fairness;

• written representations;

• licensing hearings; and

• appeals against refusal, suspension or revocation.

The applicable legislation and procedure may differ according to the type of licence and the licensing authority concerned.

Planning enforcement

Local planning authorities may investigate and take action where development or a change of use is alleged to have occurred without the necessary planning permission.

A barrister may advise on:

• whether a breach of planning control has occurred;

• planning contravention notices;

• enforcement notices;

• breach-of-condition notices;

• stop notices and temporary stop notices;

• unauthorised changes of use;

• operational development;

• failure to comply with planning conditions;

• time limits affecting enforcement;

• applications for retrospective planning permission;

• certificates of lawful existing use or development;

• appeals against enforcement notices;

• injunctions;

• prosecution for non-compliance; and

• the relationship between planning and other regulatory regimes.

Planning enforcement procedures differ between England and Wales in some respects. Advice must be based on the location of the property and the particular statutory regime that applies.

Building-control enforcement

Local authorities and other public bodies may take enforcement action where building work is alleged not to comply with applicable building requirements.

Advice may concern:

• alleged contraventions of building regulations;

• enforcement notices;

• requirements to remove or alter work;

• dangerous structures;

• stop notices or compliance notices where applicable;

• responsibility of owners, developers or contractors;

• interaction with planning enforcement;

• criminal proceedings;

• available appeals or challenges; and

• the need for surveying or engineering evidence.

Technical compliance issues may require evidence from a building-control professional, surveyor, engineer or other expert.

Housing and landlord enforcement

Local authorities have a range of powers relating to housing conditions, property licensing and the management of rented accommodation.

A barrister may advise landlords, property owners or managers about:

• improvement notices;

• prohibition orders;

• emergency remedial action;

• hazard-awareness notices;

• alleged housing hazards;

• houses in multiple occupation;

• mandatory, additional or selective licensing;

• refusal, variation or revocation of a property licence;

• alleged breaches of licence conditions;

• HMO management regulations;

• overcrowding;

• civil financial penalties;

• rent repayment orders;

• banning orders;

• works carried out by the authority;

• recovery of enforcement costs;

• criminal prosecutions;

• appeals to the relevant tribunal; and

• the proportionality and procedural fairness of enforcement action.

The relevant powers and procedures differ between England and Wales. The barrister will need to identify the legislation applicable to the property.

Food production and food-safety regulation

Food producers, manufacturers, retailers, restaurants and other food businesses may face investigation or enforcement by local authorities, the Food Standards Agency or other responsible bodies.

Advice may cover:

• registration or approval of food premises;

• food-hygiene requirements;

• food-safety management procedures;

• inspections and sampling;

• hygiene improvement notices;

• prohibition procedures;

• emergency prohibition action;

• detention or seizure of food;

• alleged contamination or unsafe products;

• traceability and labelling;

• allergen information;

• food-hygiene ratings;

• product recalls;

• interviews under caution;

• criminal prosecutions;

• responsibility of directors or managers; and

• appeals or challenges to enforcement decisions.

Scientific or technical issues may require evidence from a food-safety, microbiology or other appropriate expert.

Environmental health and statutory-nuisance enforcement

Businesses, landlords and property owners may face action concerning noise, waste, smoke, odour or other alleged environmental interference.

A barrister may advise on:

• statutory-nuisance investigations;

• noise-abatement notices;

• smoke, fumes, dust or odours;

• waste-storage or disposal concerns;

• pests and insanitary conditions;

• drainage or water problems;

• alleged breaches of environmental permits;

• responsibility for the activity complained of;

• compliance with an abatement notice;

• appeals against notices;

• injunctions; and

• prosecution for non-compliance.

Trading standards and consumer enforcement

Businesses may be investigated over the way goods or services are described, marketed or supplied.

Advice may concern:

• allegedly misleading commercial practices;

• product descriptions;

• pricing and promotions;

• consumer information;

• unfair commercial practices;

• product-safety requirements;

• compliance notices;

• requests for documents or information;

• entry, inspection or seizure powers;

• undertakings;

• civil enforcement;

• interviews under caution; and

• criminal prosecutions.

Regulatory investigations

A regulator or local authority may request information, inspect premises, interview individuals or begin formal enforcement proceedings.

A barrister may advise on:

• the regulator’s statutory powers;

• whether information or documents must be provided;

• responding to requests for information;

• entry, search, inspection and seizure;

• preservation and disclosure of documents;

• internal investigations;

• witness evidence;

• interviews under caution;

• privilege and confidentiality;

• allegations against companies, directors or managers;

• enforcement notices;

• proposed civil or criminal proceedings; and

• the appropriate response to the investigation.

Interviews under caution

An invitation to attend an interview under caution usually means that the authority is considering whether a criminal offence has been committed.

Advice may cover:

• the allegations being investigated;

• the authority’s powers;

• whether attendance is compulsory;

• disclosure available before the interview;

• the right to legal representation;

• preparation for questioning;

• whether to answer questions;

• documents and evidence;

• potential liability of a company, director, landlord or employee; and

• the possible consequences of the interview.

The fixed-fee package provides initial advice and does not include attendance at or representation during an interview under caution.

Enforcement notices and civil penalties

Regulators and local authorities may impose requirements or financial penalties without first bringing a criminal prosecution.

A barrister may advise on:

• whether the authority has the necessary statutory power;

• the form and service of the notice;

• whether statutory preconditions have been satisfied;

• notices of intent;

• written representations;

• final penalty notices;

• the calculation and proportionality of a penalty;

• compliance periods;

• applications to vary, suspend or withdraw a notice;

• appeals to a court or tribunal;

• the consequences of non-compliance; and

• recovery or enforcement of the penalty.

Regulatory prosecutions

Failure to comply with regulatory requirements or an enforcement notice may result in prosecution.

Advice may cover:

• the elements of the alleged offence;

• whether the prosecution has been brought against the correct person or company;

• responsibility of directors, managers or employees;

• the prosecution evidence;

• statutory defences;

• due-diligence arguments;

• reasonable excuse;

• admissibility of interview evidence;

• abuse of process;

• sentencing and financial penalties;

• compensation, costs and ancillary orders; and

• the prospects of an appeal.

Professional disciplinary proceedings

Professionals may face investigation or disciplinary action by a regulator, professional body, employer or disciplinary panel.

Advice may concern:

• professional misconduct allegations;

• breaches of professional standards or codes;

• fitness-to-practise proceedings;

• competence, health or conduct concerns;

• dishonesty or integrity allegations;

• complaints from clients, patients or members of the public;

• responding to an investigation;

• disclosure and evidence;

• interim suspension or restrictions;

• disciplinary hearings;

• findings and sanctions;

• restoration or review proceedings; and

• appeals against disciplinary decisions.

The fixed-fee package provides initial advice. It does not include representation at a disciplinary or fitness-to-practise hearing.

Challenging licensing and regulatory decisions

A licensing or enforcement decision may be challenged through a statutory appeal, internal review, tribunal proceeding or, in some circumstances, judicial review.

A barrister may advise on:

• the reasons given for the decision;

• whether the authority applied the correct legal test;

• whether relevant evidence was considered;

• procedural fairness;

• apparent bias or predetermined decision-making;

• proportionality;

• consistency with published policies;

• statutory appeal rights;

• tribunal or magistrates’ court proceedings;

• internal review or reconsideration;

• complaints procedures; and

• whether judicial review may be available.

Where the principal issue concerns the general lawfulness of a public authority’s decision or judicial review, our Public Law and Judicial Review page may be more appropriate.

What advice can the barrister provide?

Depending on the questions accepted, the barrister may help you understand:

• the relevant licensing or regulatory regime;

• your rights and obligations;

• the authority’s statutory powers;

• whether an application, notice, penalty or decision appears valid;

• the strengths and weaknesses of your position;

• what evidence or expert opinion may be required;

• how to respond to an investigation or proposed enforcement action;

• the available representations, reviews and appeals;

• the risk of prosecution, financial penalty or loss of a licence;

• whether negotiation or another resolution may be possible; and

• the practical steps you should consider taking next.

Fixed-fee online licensing and regulatory advice

The Barristerly package costs £750, including VAT, and provides up to two hours of the barrister’s professional time in total.

It ordinarily includes:

• advance consideration of your information;

• review of up to 20 pages of the most relevant documents;

• an online consultation of up to 60 minutes; and

• a short written summary of the principal advice and recommended next steps.

The remaining time is divided between preparation and producing the written summary at the barrister’s professional discretion.

Relevant documents might include the licence or application, enforcement notice, notice of intent, final decision, investigation letter, interview invitation, regulator’s policy, disciplinary allegation and important correspondence.

Is the fixed-fee package suitable for every regulatory matter?

The package provides focused advice on defined questions. It does not include attendance at an interview, inspection or licensing hearing, extensive evidence review, preparation of substantial appeal documents, the conduct of proceedings or representation at a court, tribunal or disciplinary hearing.

Licensing and regulatory matters may involve specialist technical evidence and short statutory deadlines. The barrister may ask you to narrow your questions or documents, decline the instruction or discuss separate terms for additional work.

If a licence has been suspended with immediate effect, an interview under caution is imminent, a stop or prohibition notice has been served, business operations are at immediate risk or an appeal deadline is approaching, you should obtain urgent specialist assistance and should not rely on the ordinary Barristerly booking process.

Request a licensing or regulatory consultation

Choose an available appointment and tell us briefly about the licence, investigation, enforcement action or disciplinary allegation and the questions you would like answered.

Your request remains provisional until the barrister has completed the necessary conflict and suitability checks and confirmed the instruction in writing.

[Request a consultation]

Barristerly is an independent booking and introduction service connecting clients with participating independent Public Access barristers. Barristerly is not a firm of solicitors or a barristers’ chambers and does not itself provide legal advice.