Referral to the ICAEW Disciplinary Committee
If the Institute of Chartered Accountants in England and Wales (ICAEW) believes you are guilty of misconduct, your case will be referred to the Disciplinary Committee. It is strongly recommended that you have legal representation during disciplinary proceedings, as this will increase your chances of a positive outcome.
“Following an investigation into a breach of audit regulations I was facing a disciplinary hearing by my regulatory body, The Institute of Chartered Accountants in England and Wales.
At that point I approached Jon for his advice. From the outset I knew I had made the right decision to appoint him. Not only was he very knowledgeable of disciplinary proceedings, he was also supportive during an extremely stressful time.
Throughout the hearing Jon’s skills as an experienced advocate shone through and the outcome he achieved for me was nothing short of miraculous!
It is fair to say that without Jon’s expert representation I would have found myself excluded from membership of the ICAEW and I cannot thank him enough for saving my career.”
Dealing with the ICAEW’s Disciplinary Committee
When the ICAEW receives a complaint about you, it goes through various stages of assessment and investigation. If the alleged misconduct is considered serious, or you do not accept the findings of the Investigation Committee, the case is passed the Disciplinary Committee. At this stage, it is deemed to be a ‘formal complaint’.
The Disciplinary Committee consists of three people – one chartered accountant and two lay members. Together they form a tribunal panel. You will be asked whether you want to admit to the formal complaint. If so, there will be a sanctions hearing, during which the panel decides what penalties should be imposed.
If you wish to contest the allegations, there will be a case management hearing, followed by a final hearing. The final hearing is usually public and each side is entitled to legal representation. The ICAEW typically instructs a solicitor or barrister to present their case. It is advisable that you have your own solicitor, or you will be at a significant disadvantage.
Each side is allowed to call witnesses and produce documentary evidence in support of their case. Afterwards, the tribunal decides whether the formal complaint has been proven. If so, it determines what sanctions to impose. These range from a reprimand to exclusion from the ICAEW.
Instruct a solicitor
If the Disciplinary Committee finds against you, the consequences can be extremely harmful. The findings are usually made public, meaning you could suffer reputational damage. If your ICAEW membership is revoked, you can no longer call yourself a ‘chartered accountant’. Evidently, this will have serious implications for your future career.
There is a lot riding on the Disciplinary Committee’s decision. To put yourself in the best possible position, please contact us for professional legal support. We specialise in representing ICAEW members who are facing disciplinary action. We have helped countless others in your situation and can help you too.
We can formulate the right strategy in your particular case, advising whether to accept or fight the allegations. If the complaint is contested, we can put together a strong defence and argue your case in front of the tribunal.
Having us on your side ensures you have the best legal representation available. We have an in-depth knowledge of ICAEW’s standards, guidance and regulations. We will use this expertise to undermine the complaint against you.
These cases can consume a lot of your time and energy. We handle everything for you, working hard to get you the best possible result.
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Why Choose Us?
- Represented the SRA for over 20 years
- Defended over 150 solicitors
- Specialist Regulation Solicitor
- Member of The Association Of Regulatory & Disciplinary Lawyers
Helping clients throughout England and Wales