5 - Disciplinary Procedures Flashcards
What is a “disciplinary procedure”?
Undertaken by Standards and Regulation Board.
A disciplinary procedure can be triggered by someone complaining to the RICS.
Failure to follow any RICS Guidance will be considered.
Members/firms will be asked to justif steps taken in these circumstances.
What are the 3 levels of disciplinary action?
- Action by head of regulation
- Disiplinary panel (drawn from the independednt regulatory tribunal)
- Appeal panel
What would be the initial investigation stage of a disciplinary?
First step is a formal investigation by the Head of Regulation of the RICS.
1 of 4 actions can be initiated if they consider disciplinary action is required.
What are the 4 possible actions if the Head of Regulation considers disciplinary action is required?
- Serve a fixed penalty notice
- Make a regulatory compliance order
- Refer matter to a ingle member of the Regulatory Tribunal for consideration
- Refer the matter directly to a Disiplinary Panel
What is a “Fixed Penalty Notice” (one of the four disiplinary actions)?
Procedure used for breaches of rules.
Usually fine and/or caution
What is a “Regulatory Compliance Order” (one of the four disiplinary actions)?
What is a “action by disciplinary panel” (one of the four disiplinary actions)?
For more serious breaches a panel of non RICS can decide possible consequence a
What is the Appeal Panel?
What is the use of social media: Guidance for RICS members, 2024?
