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Vol 25 No 2 Feb/March 2020

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This book is now Out of Print.
A new edition was published, see:
Disciplinary and Regulatory Proceedings 8th ed isbn 9781846619397

Disciplinary and Regulatory Proceedings 7th ed

ISBN13: 9781846615795
New Edition ISBN: 9781846619397
Previous Edition ISBN: 9781846612701
Published: February 2013
Publisher: LexisNexis Butterworths
Country of Publication: UK
Format: Hardback
Price: £105.00
(Second Hand)

In stock second-hand.

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.

It provides an authoritative examination of the general principles that apply to all regulatory and disciplinary tribunals, including coverage of the basis of the tribunal's authority and extent of its jurisdiction, natural justice, human rights, grounds for disciplinary action, investigations, the decision to prosecute, hearings, evidence, appeals, and enforcement. It goes on to examine the specific working of three major professional areas: healthcare, the FSA and legal services.

In addition to this core commentary, guidance on the practical application of the general principles is provided, looking in detail at such issues as the retrospective effect of rule changes, malicious falsehood, data protection and freedom of information, whistle-blowing, and guidance on defending a claim or how to avoid or defuse a claim. The disciplinary arrangements of the most prominent regulators are described in outline in a separate section


This edition looks at the new regulatory proposals for financial services, developments in healthcare and the comprehensive reforms in the regulation of legal services by the Legal Services Act 2007 and their likely impact on recent developments in disciplinary proceedings. Among the more significant decisions noted herein are the following:

  • Remedy UK Ltd, R (on the application of) v General Medical Council on fitness to practice
  • Mallon v General Medical Council on the meaning of the terms ‘misconduct' and ‘serious professional misconduct'
  • Kulkarni v Milton Keynes Hospital NHS Foundation Trust and the right of medical practitioners to be legally represented
  • Akzo Nobel Chemicals & Akcros Chemicals v Commission & Ors (Competition) concerning the position of employed lawyers generally
  • R v Rollins in which the court allowed the FSA to prosecute offences beyond that which was allowed by Parliament
The authors maintain a companion website dedicated to regulatory law and will post updates to the book and articles on to the site as developments occur regulatorylaw.co.uk.

Courts and Procedure
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 Regulation of Legal Services
The Civil Liability of Disciplinary and Regulatory Bodies
The Retrospective Effect of Rule Changes
Data Protection and Freedom of Information

Disciplinary and Regulatory Arrangements in Practice
Practical Advice

The Human Rights Act 1998