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Disciplinary and Regulatory Enforcement

Disciplinary and Regulatory Enforcement

Preparation of Disciplinary and Regulatory cases before the Regulatory Tribunal

Following an investigation into the alleged breach of the Bye-Laws by a Regulated Member (see here for further details). The Head of Regulation, in accordance with the Regulatory Tribunal Rules, will decide whether to take disciplinary action.  Where the decision refers the case to the Regulatory Tribunal, the RICS Enforcement Team will undertake to prepare and present the case.

As part of the preparation, there is a full review of the evidence gathered and whether it supports the allegations of breach of the Bye-Laws. The Enforcement Team will liaise with the Regulated Member and the witnesses in the case and serve a final bundle of evidence on the Regulated Member once the case is fully prepared.

Listing of cases before the Regulatory Tribunal

The case will then be listed for a hearing by the Regulatory Tribunal Team, who coordinate the management of hearings before the Regulatory Tribunal.  The cases are run in accordance with the Standard Practice Directions (save for cases considered to be outside the Directions).  For Standard Practice Directions please see here.

For more information on the Regulatory Tribunal please see here.

RICS publishes the notices for forthcoming Regulatory Tribunal hearings approximately 14 days prior to the hearing date, and these can be viewed here.

Interim Measure Applications before the Regulatory Tribunal

The Enforcement Team are also responsible for the preparation and presentation of Interim Measure applications before the Regulatory Tribunal (sitting as a Disciplinary Panel), in accordance with Bye-Law 5.4.4 and the Regulatory Tribunal Rules.  An Interim Measure can be suspension or conditions and are imposed prior to the conclusion of an investigation into the conduct of the Regulated Member and can initially be imposed for up to 18 months. For more information on Interim Measures please see here.