We provide legal representation to chartered accountants facing disciplinary action. Whether you need to respond to the initial complaint, attend a hearing in front of the Disciplinary Committee, or appeal a decision, we can help you.
“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.”
How can we help?
Is the Institute of Chartered Accountants in England and Wales (ICAEW) investigating you for misconduct? We specialise in this area of law and help ICAEW members with –
- ICAEW investigations
- Responding to the initial complaint
- Referral to the ICAEW Disciplinary Committee
- Sanctions and appeals
Responding to the initial complaint
The ICAEW is duty-bound to investigate complaints regarding its members. As part of this, you may be asked to provide additional information. Please contact us before responding to the initial complaint. We will draft a response on your behalf, demonstrating how the claims against you are unsubstantiated.
Chartered accountants must comply with the Royal Charter, bye-laws, regulations and ICAEW Code of Ethics set out by the ICAEW. If issues are raised regarding your conduct, ICAEW must check whether you breached any of these rules. If the evidence suggests that there may be a case to answer, the complaint will be referred to the Investigation Committee. We can liaise with the Investigation Committee, outlining how you adhered to the standards expected of the profession.
Referral to the ICAEW Disciplinary Committee
If the matter is referred to the ICAEW Disciplinary Committee, it is considered a ‘formal complaint’. We strongly recommend instructing a solicitor at this stage, if you have not already done so. If you contest the allegations, there will be a hearing. It is important to have your own legal representation.
Sanctions and appeals
If the Disciplinary Committee finds you guilty of misconduct, and imposes sanctions, we can advise on your prospects of success at an appeal. If we believe there are grounds for an appeal, we manage the process for you. We apply the full weight of our legal expertise to get the decision overturned.
Expert legal advice
The threat of regulatory action is a serious burden to bear, putting you under significant pressure, both professionally and personally. Let us help you. We specialise in this field and offer a range of legal services to ICAEW members.
Our priority is to resolve the matter with your reputation and integrity intact. We do everything we can to bring disciplinary proceedings to a swift close, all while securing a positive outcome. We provide a calm and reassuring presence during this distressing time. With us, you can feel confident that you have the best legal representative on your side.
Contact us now
It can be extremely intimidating to go up against an organisation such as the ICAEW. We even the playing field, ensuring you have your own legal team to fight your corner.