Subjects:

Practice & Procedure

Contents:

PART 1 –

DISCIPLINARY AND REGULATORY PROCEEDINGS

The Basis of the Jurisdiction

The Right to a Fair Trial

The Common Framework

The Grounds for Disciplinary Action

The Role of Ethical Guides and Codes of Practice

Commencing an Investigation

The Investigation

The Decision to Prosecute

The Tribunal

Pre-Trial Issues

Public Hearings

Witnesses, Evidence and Proof

The Hearing

Penalties, Powers and Costs

Appeal and Judicial review

Regulatory Functions

The Enforcement Powers of the Financial Services Authority

Healthcare Regulation

The Civil Liability of Disciplinary and Regulatory Bodies

PART 2 –

DISCIPLINARY AND REGULATORY ARRANGEMENTS IN PRACTICE

Practical Advice

Advice for the Defence Lawyer in Disciplinary Proceedings

Advice for the Lay Tribunal

Ways to Avoid or Defuse Claims

Examples of Disciplinary Arrangements

Examples of Ethical Codes

Examples of Indicative Guidance

A Model Investigatory Protocol

The Retrospective Effect of Rule Changes

The Human Rights Act 1998

Data Protection and Freedom of Information

Originally published by Barry Rose
Disciplinary and Regulatory Proceedings is the leading work on this important and dynamic area of law. Written by leading practitioners in the field with considerable experience of tribunals both as chairmen and lawyers defending, prosecuting and advising upon disciplinary and regulatory enforcement proceedings.

Part 1 contains authoritative narrative dealing with the general principles that apply to all regulatory and disciplinary tribunals making this work suitable for lawyers and advisers dealing with a whole range of regulatory and disciplinary work. This commentary includes coverage of the basis of the tribunal’s authority and extent of its jurisdiction, natural justice, human rights, grounds for disciplinary action, investigations, hearings, evidence, appeals, and enforcement. In addition there is a chapter dedicated to the FSA and, for the first time, there is a new chapter dealing with healthcare regulation.

Part 2 concentrates on the practical application of the principles and looks in detail at such issues as malicious falsehood, retrospective effect of rule changes, and also provides guidance on defending a claim and how to avoid or defuse a claim. There are guides to the conduct of disciplinary proceedings both for prosecutors and defence solicitors, ethical codes and indicative guidance and it sets out in tabular form the basic procedural requirements of each of the main professional regulatory tribunals.

This new edition has been substantially revised and developed and includes:-

• coverage of nearly one hundred new cases, many of which deal with the increasingly important application of the Human Rights Act to this area of law;
• a new chapter dealing with healthcare regulation;
• guidance on data protection and freedom of information;
• advice for the prosecuting lawyer
• examples of indicative guidance.