We have two disciplinary panels, which consider cases and make decisions about how complaints should be dealt with. These are the Professional Conduct Panel (PCP) and Disciplinary Tribunal (DT).
The Professional Conduct Panel (PCP)
The PCP is made up of three people. Two are independent lay members (people who do not work for the CILEx Group and who do not work in the legal profession) and one professional CILEx member (a member of CILEx who works in the legal sector). An independent clerk runs the meeting.
What sanctions can the PCP make?
The PCP has the power to do the following:
- reject the complaint because it decides there is no case to answer (there is not enough evidence to take further action); or
- decide there is a case to answer (there is enough evidence to take further action)
If the PCP decides to take further action, it can either: pass the case to the DT, or, if the person or firm admits the wrongdoing and agrees, the case can be brought to an end by a decision, as long as it is appropriate to:
- set conditions about their future conduct, or if they are an individual, on their employment, and require undertakings (promises which can be enforced by law) about their future conduct; or
- reprimand and/or warn them
Where the complaint is against firm the PCP may make a temporary order for the Approved Manager, who is a lawyer in the firm, to enter into a Practice Management Agreement to close or manage the firm so that clients are protected.
Decisions that CILEx Regulation can make
In some cases, CILEx Regulation will be able to decide about the wrong doing you have told us about without passing your matter to the PCP. The types of decisions include:
- rejecting a complaint where CILEx Regulation has no power to deal with the case, or there is not sufficient evidence, or where the issues you have complained about happened more than one year ago
- entering a final decision to end the investigation, by consent, where the person complained about has accepted the wrongdoing and a penalty
- referring very serious cases directly to the DT
Disciplinary Tribunal (DT)
Disciplinary cases are heard by two independent lay members (people who do not work for the CILEx Group and who do not work in the legal profession) and one professional CILEx member (a member of CILEx who works in the legal sector).
DT proceedings are formal. We bring charges against the person or firm. We prepare the charges to explain what the person or firm has done and which parts of the CILEx Code of Conduct have not been complied with. If any other rules and regulations have been broken this is also explained. The charges are supported by witness statements and exhibits (for example, letters or other documents).
We may prepare a witness statement for you to sign and you may have to give evidence when the DT considers the complaint. We will try to help you through this process as we understand this may be daunting. You may seek independent legal advice about giving evidence at the DT as well.
The DT hearing begins with us explaining our case first. You may be asked to give evidence. Once we have stated our case, the person or firm that you have complained about will state their case and respond to the charges against them. The DT will then privately consider the case and make their decision.
What sanctions can the Disciplinary Tribunal make?
If the DT decides the charges have been proved (the individual or firm has done wrong) it has the power to order:
- that conditions are set for the future conduct of a firm, or on an individual’s employment
- reprimand and/or warn them
- exclude them from membership or authorisation
In addition, they may be ordered to pay:
- a fine – up to £100,000 for CILEx members, up to £50 million for CILEx Practitioners and Approved Managers and a percentage of a firm’s turnover or up to £250 million, whichever is greater
- costs of the case
Where the decision is to withdraw authorisation from a regulated firm, so we no longer regulate them, the DT may ask the firm to enter into a Practice Management Agreement to close or manage the firm.
Adjournments
In some cases, an adjournment of a PCP meeting or DT hearing is requested. In these cases, the adjournment policy will be followed.
What the PCP and DT cannot do
The PCP and DT cannot award compensation or force an individual or firm to apologise.
Guidance to sanctions
If you want to find out more information about the sanctions disciplinary panels can use there is guidance in the Enforcement Handbook, which explains our investigation and disciplinary processes in detail. We also have sanctions guidance, a fines policy and costs policy, which has been developed to guide those making decisions about imposing sanctions to promote proportionality, consistency and transparency within decision making.
Appealing a decision
The individual or firm may appeal a decision made by the PCP and DT, however, you cannot.
You do have a right to ask for a review by the PCP if you the case following on from your complaint has been rejected by us. If you want the PCP to review our decision, we will provide you with details explaining how to do this.
Appeals are heard by an Appeals Panel, which is also made up of two independent members who are not legal professionals and one professional CILEx member
Check a record
You can check if a disciplinary decision has been made against a member of CILEx, a CILEx Practitioner or a regulated firm in the Directory of disciplinary orders.
Other complaints procedures
There are other bodies that you can complain to or other types of redress (ways for complaints to be resolved) and you may wish to find out more information about them.
Disciplinary Decisions
Publication of disciplinary decisions
If the case against the person you have complained about is proved the decision is published. The decision is published on the CILEx Regulation website and in the Chartered Institute of Legal Executives’ Journal publication. Decisions may be published in other publications and employers are informed, where appropriate.
You can find out more about publication of decisions in the CILEx Regulation publication policy.
