Sanctions and Appeals
If the Institute of Chartered Accountants in England and Wales (ICAEW) upholds a formal complaint against you, it may choose to impose sanctions. You can make an appeal to the Appeal Committee if you disagree with their decision.
You only have 28 days to make an appeal, so please do not delay in contacting us for expert legal advice. We can prepare your appeal, applying our knowledge of the law to get you a more favourable outcome.
Types of sanctions
If the ICAEW’s Disciplinary Committee upholds a complaint against you, it must decide what sanctions to impose, if any. The decision is based on the severity of the misconduct, any aggravating or mitigating circumstances, and (if you want) your financial situation.
The potential sanctions available to the Disciplinary Committee include –
- A reprimand
- A fine
- The removal of your practising certificate
- The removal of your ICAEW membership
- The order that you waive, reduce or return any fees or commission
- The order that you take remedial action to resolve the issue
Make an appeal
If you disagree with the Disciplinary Committee’s decision, you can make an appeal. This involves submitting a written application to the Appeal Committee. You must do this within 28 days of the Disciplinary Committee’s decision against you.
The Appeal Committee consists of five people – one legal expert, two chartered accountants and two lay people. It reviews the evidence presented to the Disciplinary Committee. You can also request that any fresh evidence is taken into account.
If the Appeal Committee finds in your favour, it can –
- Overturn the Disciplinary Committee’s decision
- Vary a sentencing order the committee has made – including offering a more lenient penalty
- Order that your costs be paid by ICAEW
How can we help?
We provide legal representation to chartered accountants facing disciplinary action and sanctions.
We appreciate this is a scary time for you. Being penalised by the ICAEW can have a major bearing on your job, sometimes damaging it beyond repair. This is particularly true where the Disciplinary Committee removes your practising certificate or ICAEW membership.
However, please do not give up. You can always appeal the decision. We can prepare the case on your behalf. As part of this, we will investigate whether there is any fresh evidence that was not originally presented to the tribunal. If so, we can make an application to ensure this evidence is relied upon by the Appeal Committee.
With our expertise, you can be confident that the strongest legal arguments are put forward in favour of your case. We know what is at stake and work hard to get the Disciplinary Committee’s decision amended.
Contact us now
You only have 28 days to make an appeal, so early legal advice is essential. If you have been found guilty of misconduct by the ICAEW’s Disciplinary Committee, contact us to discuss your options.
“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.”
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