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Disciplinary and Regulatory Proceedings Ninth edition

The leading work on this important and dynamic area of law.
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.


The regulation of professionals continues to evolve at great speed. Driven partly by political agenda, but also by an acknowledged, and entirely legitimate, objective to maintain high standards amongst those delivering professional services, there is now a myriad of rules and regulations to digest. The volume of case-law being generated, whether by first instance decision makers, or upon appeals or judicial reviews, is testament to the growth in this area of law. The sheer volume of decisions provides a wealth of material from which to crystallise principles of general application, which can be utilised across the range of regulatory proceedings. Read the full preface...

Featured authors

Table of contents

  • Contributors
  • Preface
    • Table of Cases
    • Table of Statutes
    • Table of Statutory Instruments
    • Table of European Materials

    • The Jurisdiction of Regulators: Powers, Principles and Approach
    • The Nature of Professional Misconduct
    • Disciplinary Tribunals
    • Civil Liability of Regulatory Bodies

    • The Investigation
    • The Decision to Prosecute
    • Pre-trial Issues
    • Disclosure and Confidentiality
    • The Hearing
    • The Tribunal’s Decision
    • Appeals and Reviews

    • General
    • The Regulation of Financial Services
    • The Regulation of Healthcare
    • The Regulation of Legal Services
    • The Regulation of Other Professions

    • Data Protection and Freedom of Information

Read the full contents