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ICAEW Disciplinary Database

Search disciplinary and regulatory records

Please refer to the Disciplinary Database policy document before using the database.
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It is in the public and the profession’s interest that information about disciplinary and regulatory orders against ICAEW firms and members is available and accessible.

The new ICAEW Disciplinary Database enables users to search for a disciplinary or regulatory record without needing to know when the hearing took place.

The functionality of this new Database is a supplement to the existing list of future and past hearings and appeals and full reports of disciplinary orders and regulatory decisions made in the last five years. This continues to be available from the ‘hearings, orders and decisions’ section of icaew.com/regulation

Overview

The ICAEW Disciplinary Database offers a searchable way for the public to access disciplinary and regulatory records.

Users can search either by the name of the ICAEW member or firm, the general location or by a time-period. It is not necessary to know the month and year when the hearing/decision was made.

Decisions are listed on the ICAEW Disciplinary Database for a specified time-period, dependent upon the category of disciplinary or regulatory matter and the sanction imposed.

ICAEW’s regulatory and disciplinary processes are designed to protect the public, to maintain the reputation of the profession and uphold proper standards within the profession. It is in both the public and profession’s interest that the disciplinary and regulatory orders made by ICAEW are available and accessible.

We continue to provide a list of future and past hearings and appeals and full reports of disciplinary orders and regulatory decisions made in the last five years on icaew.com. However, the ability to search for information is limited; interested persons need to know roughly (ie which month and year) when the hearing/decision was made. The new ICAEW Disciplinary Database negates the need to know when the hearing/decision was made.

What determines an entry and length of publication on the ICAEW Disciplinary Database?

Disciplinary and regulatory findings and penalties are determined by ICAEW’s disciplinary and regulatory committees. These committees are independent to ICAEW. Publication of disciplinary or regulatory records on the Database are dependent on the committee’s decision in the matter before them.

The length of time that a disciplinary or regulatory decision remains on the ICAEW Disciplinary Database is determined when the sanction or order is imposed and in accordance with category of the matter and the sanction given.

Each committee has a set of regulations, the ICAEW Disciplinary Bye-laws and the new Disciplinary Database policy document, which contains the relevant provisions to assist in their consideration of any substantive matter and subsequently with regards to publication of the record on the Database.

The full record will be published once the appeal period and/or appeal proceedings are concluded. Prior to this we will publish a short form publicity statement.

There are some cases which can’t be shared or published for legal reasons, such as cases concerning health matters before the Fitness Committee (although we will publish details of an order made under DBL40.3). We will also not publish if a committee has decided that a matter should be dealt with via an Unpublicised Caution.

ICAEW Disciplinary Database policy

PDF (215kb)

Please refer to the policy document before using the database.

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