This section sets out the processes and regulations for the investigation of complaints, disciplinary action and appeals that were in effect up until 31 May 2023. It also signposts you to the archives of other ICAEW regulations, including those covering the statutory regulated areas.
Disciplinary matters
Access the complaints, disciplinary and fitness regulations that were in effect up until 31 May 2023 via the links below. These regulations have been replaced by new versions effective 1 June 2023.
- Disciplinary Bye-laws archive
- The duty on firms to investigate complaints archive
- The duty on members to report misconduct archive
- Guidance on Sanctions archive
- Guidance on Fixed Penalty Process archive
- FRC Scheme and Regulations archive
- ICAEW Code of Conduct for Complainants (archived)
The following regulations are now obsolete:
Regulatory matters
As well as ICAEW's disciplinary regulations above, you should also refer to the archived regulations that correspond with the relevant statutory regulated area.
Other regulations
A range of other archived regulations are accessible from our regulation hub. These include:
- Practice Assurance Regulations archive
- Clients' Money Regulations archive
- Professional Indemnity Insurance Regulations archive
- ICAEW Principal Bye-laws archive
- ICAEW Code of Ethics archive
- Statement on Engaging in Public Practice Regulations 2017 to 2023
- Practising certificate regs | Regs standards and guidance 2012 to 2023
- Practising certificate regs | Regs standards and guidance 2010 to 2012
- Continuing Professional Development Regulations effective until 31 October 2023