New regulations to aide continuous improvement of investigations

Significant changes have been made to the Disciplinary Bye-Laws (DBLs) with effect from today - 14 October 2019.

The DBLs govern the way in which complaints are investigated by ICAEW’s Professional Conduct Department and the procedures governing the Investigation, Disciplinary, Appeal and Fitness Committees.

The ICAEW Regulatory Board (IRB) has made these changes with the primary purpose of safeguarding the public interest and the clients of firms. The changes include the introduction of:

  • A Code of Conduct for Complainants.
  • A fast-track disciplinary process for serious criminal conviction complaints.
  • Settlement powers.
  • Powers to enable disciplinary tribunals (in certain circumstances) to suspend a respondent’s membership, registration or practising certificate ahead of the main complaint hearing.
  • Powers for the Investigation Committee to recall and reconsider complaints (in certain circumstances) that it has previously referred to the Disciplinary Committee.

There are also changes to DBLs 4, 5 and 7 concerning respondents’ liability to disciplinary action and evidence in disciplinary proceedings.

These changes also offer the benefit of reduced costs and quicker conclusions to cases, but most importantly, they continue to ensure a robust investigation process.

Read more about these changes at icaew.com/DBLs

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    • Powers to enable disciplinary tribunals (in certain circumstances) to suspend a respondent’s membership, registration or practising certificate ahead of the main complaint hearing.
    • Powers for the Investigation Committee to recall and reconsider complaints (in certain circumstances) that it has previously referred to the Disciplinary Committee. https://tellthebelll.us