Disciplinary and Regulatory Enforcement

Preparation of Disciplinary and Regulatory cases before the Regulatory Tribunal

Following the referral of a case from the Investigation team, Head of Regulation, in accordance with the Regulatory Tribunal Rules, will decide whether to take disciplinary action (see here for further details). Where the decision is that the matter should be referred to the Regulatory Tribunal, the RICS Enforcement Team will undertake to prepare and present the case before a Disciplinary Panel.

As part of the preparation, there is a full review of the evidence gathered and whether it supports the allegations giving rise to liability to disciplinary action in accordance with Bye-Law 5.2 or 5.3. The Enforcement Team will liaise with the Regulated Member and serve a final bundle of evidence on them once the case is 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.