Disciplinary Procedures

Question 1

Three levels of disciplinary process

Answer 1

1. Action by Head of Regulation
2. Regulatory Tribunal
3. Appeal panel

Question 2

Initial investigation stage

Answer 2

HoR of RICS will decide on:
1. Fixed penalty notice
2. Make Regulatory compliance order
3. Refer matter to single member of Regulatory Tribunal or refer directly to disciplinary panel

Question 3

Fixed penalty notice used for

Answer 3

Breaches relating to supply if info by RICS firms or members.
Penalty is a fine or a caution (or both)

Question 4

Regulatory Compliance Order used for

Answer 4

For minor breaches easily corrected
Written doc stating terms member or firm must take for a specific time + a fine
Normally for non compliance with RICS rules eg not doing CPD

Question 5

Regulatory tribunal or disciplinary panel

Answer 5

Serious breaches of conduct
Hearing may be required
Penalties include:
Unlimited fines
Expulsion
Publication of results from hearing
RCO
Impose conditions on future RICS registration

Question 6

Appeal panel

Answer 6

Considers member or firms appeals
Review previous evidence used and any other evidence