Disciplinary Proceedings Before Regulatory Bodies

Michael Balmer, specialist solicitor at Cartwright King Solicitors outlines the regulatory procedure when summoned to a disciplinary proceeding by a regulatory body.

Most, if not all, professions have their own regulatory body. Examples include the General Medical Council, The Healthcare Professionals Council, The Royal Institute of Chartered Surveyors and Chartered Institute of Insurance Brokers.

There are many regulatory bodies in the UK whose primary role is the fitness to practice of their members and whose duty is to uphold public confidence in their respective profession. They will each have a policy governing its members and outlining the sanctions available to those who do not comply.

If a member of a regulatory body does not act in line with the standards expected, they could face disciplinary proceedings, and ultimately could be prohibited from working in their chosen field of expertise.

The procedure involved will be largely the same for each regulatory body and is not that dissimilar to criminal proceedings: there will be an investigation and fact finding exercise undertaken by the regulator. There will usually be expert evidence adduced to assist the regulator to come to its determination. Unlike criminal proceedings, the respondent will be entitled to engage with the regulator and make written representations during the investigation process. Taking legal advice at an early stage is crucial.

Once the investigation is complete, an officer of the regulator will decide whether the matter should be dealt with by administratively or referred to a disciplinary panel if the matter warrants a heavier penalty.

A disciplinary hearing will take place before a panel made up of members of the regulatory body. The...