Conduct Panels

Professional Conduct Panel (PCP) 

The PCP is made up of two independent lay members and one professional CILEx member. The meeting is independently clerked. A representative of the entity is 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 the entity admits the misconduct, and it is appropriate to do so, with consent, the PCP can:
    • require the entity to give undertakings in relation to future conduct;
    • impose conditions in relation to future conduct; and/or
    • reprimand you and/or warn to your future conduct.

The PCP also has the power to suspend or restrict your membership/authorisation 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 make an interim order for the entity to enter into a Practice Management Agreement to close or manage the Entity for the protection of clients. Details about Practice Management Agreements can be found here.

The PCP may use the sanctions guidance developed by CILEx Regulation 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 the entity. The charges are drafted against the CILEx Code of Conduct and, where relevant, may also refer to other rules and regulations that the entity is expected to comply with. The charges will be supported with witness statements and exhibits.

The entity is entitled to attend and be represented at the hearing and to seek legal advice.

The entity 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 the entity will then present its response to the charges. Either party may call witnesses to provide oral evidence in support of their case. The hearing will conclude with a closing speech from the entity. The DT then retires to consider whether the charges have been proved.

The Disciplinary Tribunal has the power to:

• take no further action;
• reprimand and/or warn;
• impose conditions in relation to future conduct;
• exclude you from membership or authorisation;

In addition your entity or person at your entity 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 an Authorised Entities turnover or up to £250 million whichever is greater;
• costs of the case.

Where the decision is to withdraw authorisation from your entity the DT may require you to enter into a Practice Management Agreement to close or manage the entity. Details about Practice Management Agreements can be found here.

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 sanctions guidance developed by CILEx Regulation 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. The complainant (if there is one) cannot appeal a decision of the PCP and DT.

The 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.

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