Solicitors for Disciplinary Investigations and Tribunal Hearings

Draycott Browne’s professional discipline solicitors can provide you with specialist legal advice and support should you be subject to a professional disciplinary investigation.

For a free, no obligation discussion of your situation, call us on +44 (0)161 452 7671 or fill in our contact form to request a callback.

About professional discipline investigations

Simply put, professional discipline investigations are an investigation into your conduct by your chosen profession’s regulator. They will typically be bought because the regulator has been given reason to believe you are behaving in a way which does not befit your profession.

Disciplinary investigations will typically be bought in one of two ways: your employer or directly from your profession’s governing body.

Should your employer investigate, they may decide to keep the matter informal and not involve regulators. This cannot be guaranteed, however, and regulators may insist on being involved if the allegations are severe.

The disciplinary process

Each body will have their own methods when conducting investigations. The overarching process does tend to remain similar, however:

  • Formal notification. Initially, you will need to be formally notified of the decision to place you under investigation. This will detail why you are being investigated and further details on the process of the investigation. You may also be informed of the potential consequences should you be found guilty at this stage.
  • Investigation. A thorough investigation will then be carried out, during which time all evidence relating to the allegations against you will be collected, investigated and organised. During this phase, you may also be called in for questioning as the team investigating looks to arm themselves with an appreciation of all the facts before making a decision.
  • Initial decision. Upon completion of the investigation, your regulator will make an initial decision on the future of the case, deciding whether to move forward to a formal hearing or declare there is not enough evidence to continue.
  • Hearing. If the investigators decide to move forward to a formal hearing or tribunal you will be given time to prepare your case. Over the course of the hearing all evidence from both parties will be presented to a neutral panel of experts who will then make the final decision

Overall, this process could take anywhere from weeks to months to complete, depending on the severity of the accusation, the amount of evidence required and many other factors. As such, it is important to remain patient throughout.

The consequences of being found guilty

Should you be found guilty, sanctions can be severe, but they do vary. Sanctions could include but are not limited to:

  • Financial penalties
  • Losing your job
  • A permanent ban from working in the industry

In some cases, you may also be subject to a criminal investigation following the results of the hearing, which could carry even harsher penalties.

Who we work with

At Draycott Browne, we have experience working with people under investigation from a range of regulatory bodies, including:

  • The Association of Chartered Certified Accountants (ACCA)
  • The Chartered Institute of Management Accountants (CIMA)
  • The Financial Conduct Authority (FCA)
  • The General Dental Council (GDC)
  • The General Medical Council (GMC)
  • The Institute of Chartered Accountants in England and Wales (ICAEW)
  • The Solicitors Regulation Authority (SRA)
  • The Teaching Regulation Agency (TRA)
  • The Royal Institution for Chartered Surveyors (RICS)
  • General Teaching Council for England (GTC)

This is not a complete list. If you are not covered by one of these regulators, call us to discuss our experience in your industry.

How we can help you

Our team of professional discipline solicitors will help you throughout the process of your professional discipline case, providing clear, simple advice designed to make the investigation as easy on you as possible.

Call us today on +44 (0)161 452 7671 or fill on our contact form to request a call from a member of our team.

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