Ethics and Disciplinary Procedures

Question 1

When would you use the ethics decision tree?

Answer 1

if a member is asked to act in a potentially unethical manner or situation

Question 2

How is a disciplinary procedure triggered?

Answer 2

1. By someone complaining to the RICS
2. An allegation by a client or third party
3. Because of information received or established by the RICS

Question 3

What are the three levels of disciplinary action?

Answer 3

1. Action by Head of Regulation
2. Disciplinary Panel
3. Appeal Panel

Question 4

In the initial investigation stage, who carries out the formal investigation?

Answer 4

Head of Regulation of the RICS

Question 5

Upon completion of the initial investigation, what four actions can be initiated?

Answer 5

1. Serve a fixed penalty notice
2. Make a regulatory compliance order
3. Refer the matter to a single member of the Regulatory Tribunal for consideration
4. Refer the matter directly to a Disciplinary Panel

Question 6

What is a Regulatory Compliance Order?

Answer 6

A written document which states the terms upon which the member of firm must take or desist from taking certain actions in a specified time period, and an agreement to pay a fine

Question 7

When is a Disciplinary Panel required?

Answer 7

More serious breaches of conduct

Question 8

What are the penalties available to a Regulatory Tribunal Disciplinary Panel include?

Answer 8

1. Issue a Regulatory Compliance Order
2. Reprimand
3. Fine
4. Impose an unlimited amount of fine per breach but it must be proportionate to the offence
5. Impose conditions upon future continued RICS registration
6. Expulsion from membership or remove a firm
7. Require publication of the results of the hearing in the RICS Modus magazine, on the RICS website and in the local newspaper where the firm or member is based

Question 9

What is the role of an Appeal Panel?

Answer 9

Can consider a member’s or firm’s appeal against review of a decision relating to the levels of disciplinary procedure