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Complaints, disciplinary and fitness processes and regulations

This section sets out the processes and regulations for the investigation of complaints, disciplinary action and appeals. It also sets out the duties of members and firms to report and investigate misconduct, and the process that applies in fitness cases.

Disciplinary Bye-laws
Updated 14 October 2019 - the Disciplinary Bye-laws (DBLs) govern the way in which complaints are investigated by ICAEW’s Professional Conduct Department (PCD) and the procedures governing the Investigation, Disciplinary, Appeal and Fitness Committees.

Investigation Committee Regulations
Updated 15 October 2018 – these set out the procedural rules for the Investigation Committee in considering complaints. Access the schedule of the most recent amendments to the Investigation Committee Regulations.

Disciplinary Committee Regulations
Updated 1 October 2019 – these set out the procedural rules for hearings of formal complaints by tribunals of the Disciplinary Committee. Access the schedule of the most recent amendments to the Disciplinary Committee Regulations.

Appeal Committee Regulations
Updated 15 October 2018 – these set out the procedural rules for appeal hearings in relation to formal complaints by panels of the Appeal Committee. Access the schedule of the most recent amendments to the Appeal Committee Regulations.

Fitness Committee Regulations
Updated 1 June 2018 – these set out the procedural rules for determining whether a respondent’s fitness to participate in disciplinary proceedings and/or professional competence is seriously impaired by their physical or mental health. Access the schedule of the most recent amendments to the Fitness Committee Regulations

Review Committee Regulations
Updated 14 June 2017 – these set out the procedural rules for review hearings.

Interim Orders Regulations
New – approval expected October 2019

Settlement Order Regulations
New – approval expected October 2019 

The duty on firms to investigate complaints
Guidance for firms on avoiding and dealing with complaints from clients.

The duty on members to report misconduct
This guidance sets out the types of misconduct members should report.

Guidance on Sanctions and fixed penalty process
Updated 1 July 2019 – these set out the key decisions in the sanctions process and the approach ICAEW committees must take whenever they make a sanctions order against a member, firm, affiliate or provisional member.

FRC Scheme and Regulations 
The FRC's role is the investigation, and where appropriate, hearing by disciplinary tribunal of public interest cases.

Public announcements about complaints 
Guidance to explain when ICAEW can make an announcement about a current complaint.

Complainants’ Code of Conduct
New – approval expected October 2019

Fast track process for serious criminal conviction complaints
New – approval expected October 2019