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This site is based on Disciplinary and Regulatory Proceedings, 8th Edition
Disciplinary and Regulatory Proceedings is the leading work on this important and dynamic area of law. For 20 years it has provided authoritative guidance to lawyers, tribunals, and other experts dealing with professional discipline and regulation.

Institute of Chartered Accountants in England and Wales

Website http://www.icaew.com
Tribunal rules Royal Charters
By-laws and regulations
Code of Standards, etc Code of Ethics
Grounds for disciplinary proceedings Committing an act or default likely to bring discredit on the Institute or profession; breach of regulations.
Powers of administrative suspension? May suspend/withdraw practice certificate
Settlement/conciliation procedures available? Yes
Who investigates? Staff on behalf of the Chief Executive
Power of entry/search and seizure? No
Power to demand information? Yes
Pre-trial hearing? Yes, pre-hearing reviews occur in more complex cases
Discovery of documents? Informally
Pleadings? No
Tribunal The Disciplinary Committee/Appeal
Address The Committee Administrator
Metropolitan House
321 Avebury Boulevard
Central Milton Keynes MK9 2FZ
Legally qualified chairman? No; but yes on Appeal Panels
Tribunal includes lay element? Yes
Tribunal has legal assessor/clerk? Yes
Evidence heard on oath? No
Prosecution conducted in name of The Investigation Committee
Prosecution usually conducted by Legally qualified members of staff present cases
Judicial rules of evidence apply? No
Standard of proof Civil
Maximum fine No
Costs against prosecutor? Yes, discretionary. No presumption that costs follow the event
Power to order compensation? No, but can order waiver or return of fees
Proceedings open to public? Yes
Reasons given for decisions? Yes
Published sentencing guidelines Yes– see website
Where are decisions reported? Adverse findings reported in accountancy and financial press and on website
Alternative to full disciplinary proceedings? Yes. Conciliation and consent orders available
Ombudsman The Reviewer of Complaints
Address c/o Investigation Committee Administrator
Powers and duties Reviews no case finding
If referred back, complaint considered afresh
Appellate tribunal The Appeal Committee
Is right of appeal limited? No –subject to limited exceptions
Costs against prosecutor? Yes, though not as a matter of course
Right of appeal to prosecutor? No

 

Examples of Disciplinary Codes »