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Disciplinary and Regulatory Proceedings 9th edition

The leading work on this important and dynamic area of law.
Free delivery for UK
In Stock
ISBN/ISSN: 9781784733841

Product description

Why you should buy Disciplinary and Regulatory Proceedings

For 20 years it has provided authoritative guidance to lawyers, tribunals, and other experts dealing with professional discipline and regulation.

This new edition has been written by a team of specialist authors who have extensive experience in this area, thereby ensuring that every area is covered in depth. The book addresses all the major regulatory fields of expertise, and provides expert analysis on the full range of issues that may arise in the course of disciplinary proceedings. The text has been substantially updated and is structured into four major parts: General; The Disciplinary Process; Specific Regulatory Regimes; and Data Protection and Freedom of Information.

The 9th edition incorporates:

  • in the sphere of the regulation of solicitors, recent High Court decisions relating to the distinction between integrity and lack of dishonesty (see Williams v Solicitors Regulation Authority [2017] EWHC 1478 (Admin); Malins v Solicitors Regulation Authority [2017] EWHC 835 (Admin))
  • commentary on the approach adopted by the courts in respect of abuse of process arguments (Mandic-Bozic, R (on the application of) v British Association for Counselling and Psychotherapy & Anor [2016] EWHC 3134 (Admin));
  • a commentary on recent developments in financial services, including a number of notable decisions involving the FRC; and
  • analyses the recent Supreme Court judgment in Ivey v Genting Casinos (UK) Ltd t/a Crockfords [2017] UKSC 67, namely that the subjective test for dishonesty as set out in R v Ghosh does not correctly represent the law.

As with previous editions it looks in detail at the application of the general principles that govern this area of law, together with greater analysis of case law, rules and practice directions of the various disciplinary bodies and guidance issued by the various professional bodies. It also provides in depth treatment of the relevant procedures to be followed, including an extended section on the decision to prosecute.

This edition includes up-to-date chapters on healthcare, financial services and legal services, which have all been substantially rewritten to reflect major legislative changes and recent case-law.


Solicitors and barristers specialising in disciplinary and regulatory work or personal injury, medical negligence, construction, financial services, employment, judicial review, tribunal/panel members, in-house lawyers.

Featured authors

Table of contents

Part I: 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

Part II: Disciplinary and Regulatory Arrangements in Practice

  • Practical Advice
  • Exemplars
  • The Human Rights Act 1998