Conduct Panels

The Professional Conduct Panel (PCP)

The PCP is made up of two independent lay members and one professional CILEx member. The meeting is independently clerked. You are not entitled to attend the PCP.

The PCP has the power to:

• decide there is no case to answer and reject the complaint and/or allegation(s)
• decide there is a case to answer, and then either:
  • refer the case to the Disciplinary Tribunal; or

• • if you admit the misconduct, and it is appropriate to do so, and with your consent, the PCP can:
    • require you to give undertakings in relation to your future conduct;
    • impose conditions in relation to your future conduct, or if you are an individual, on your employment; and/or
    • reprimand you and/or warn you as to your future conduct.

The PCP also has the power to suspend or restrict your membership pending a hearing by the Disciplinary Tribunal either on their own application or on application from CILEx Regulation. The PCP will only do this if it is necessary for the protection of the public or otherwise.

The PCP may use the CILEx Regulation sanctions guidance to guide them on reaching a decision. The sanctions guidance is intended to promote proportionality, consistency and transparency within decision-making.

The CILEx Regulation Sanctions Guidance is an Annex to the Enforcement Handbook.

Disciplinary Tribunal (DT)

The DT is made up of two independent lay members and one professional CILEx member.

DT proceedings are formal whereby CILEx Regulation brings charges against you. The charges are drafted against the CILEx Code of Conduct and, where relevant, may also refer to other rules and regulations that you are expected to comply with. The charges will be supported with witness statements and exhibits.

You are entitled to attend and be represented at the hearing. You have the right to seek legal advice and your employer might provide you access to representation.

You may serve evidence and statements in response to the charges. All the documents will be collated into a single hearing bundle.

The hearing begins with CILEx Regulation presenting its case and you will then present your response to the charges against you. Either party may call witnesses to provide oral evidence in support of their case. You will conclude the hearing with your closing speech. The DT then retires to consider whether the charges have been proved against you.

The Disciplinary Tribunal has the power to:

• take no further action;
• reprimand and/or warn you;
• impose conditions in relation to your future conduct or, if you are an individual, on your employment;
• exclude you from membership or authorisation;

• impose a fine of up to £100,000 for CILEx members, or up to £50 million for CILEx Practitioners and Approved Managers (except where the DT has excluded you); and.
• the costs of the case.

You will have an opportunity to present mitigation and evidence of means to the DT before it decides on sanctions.

The DT may use the CILEx Regulation sanctions guidance to guide them on reaching a decision. The sanctions guidance is intended to promote proportionality, consistency and transparency within decision-making.

The CILEx Regulation Sanctions Guidance is an Annex to the Enforcement Handbook.

Appeals Panel (AP) 

Decisions of the PCP (other than referral to the DT) and DT may be appealed by you and are heard by an Appeals Panel. A complainant cannot appeal a decision of the PCP or the DT.

A complainant does have a right of review where a complaint has been rejected by CILEx Regulation.

Details of what to include in an appeal notice and the time within which to lodge appeals can be found in the Enforcement Rules and the Enforcement Handbook.

The Appeals Panel has the power to:

• dismiss or allow the appeal
• quash the decision
• remit the matter to the DT
• substitute the decision
• make ancillary orders, including orders for costs and publication.