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.
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. The changes to the Disciplinary Bye-laws will not take effect in relation to probate cases until such time as they have been approved by the Legal Services Board (LSB) . Until such time as the new DBLs have been approved by the LSB, the DBLs dated 15 October 2018 continue to apply.
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. The changes to the Disciplinary Committee Regulations (1 October 2019) do not yet apply to complaints about accredited probate firms arsing under the Probate Regulations. Until the amendments are approved by the Legal Services Board, the Disciplinary Committee Regulations dated 15 October 2018 continue to apply.
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
Effective 1 January 2020 – these new regulations supplement the procedure for interim orders set down in DBL30. These regulations will not take effect in relation probate cases until such time as they have been approved by the Probate Committee and the LSB.
Settlement Order Regulations
Effective 1 January 2020 – these new regulations supplement the procedure for settlement orders set down in DBL 18B. These regulations will not take effect in relation to probate cases until such time as they have been approved by the Probate Committee and the LSB.
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.
ICAEW Code of Conduct for Complainants
Your rights and obligations when you make a complaint to ICAEW
Fast track process for serious criminal conviction complaints
Certain types of complaints may be listed immediately for hearing before a tribunal of the Disciplinary Committee following investigation. The ICAEW Regulatory Board has determined that, for now, this process should apply to the first category of complaints under section 4 of the Guidance on Sanctions. These complaints attract a starting point of exclusion.