Sanctions

Sanctions

The following is a summary of the decisions that each Conduct Panel can make. You can find out more on the powers of the conduct panels or the investigation process.

Decisions of the Professional Conduct Panel 

The PCP has the power to do the following:

  • decide there is no case to answer and reject the complaint
  • decide there is a case to answer and either: 

i) refer the case to DT or
ii) if you admit the misconduct, and it is appropriate to do so in the circumstances, with your consent the matter can be concluded by deciding:

  • to impose conditions in relation to your future conduct or if you are an individual, on your employment.
  • to require you to give undertakings in relation to your future conduct.
  • to reprimand and/or warm you. 

Where the complaint is against an Entity the PCP may make an interim order for you to enter into a Practice Management Agreement to close or manage the Entity for the protection of clients. Details of about Practice Management Agreements can be found here.

Decisions of the Disciplinary Tribunal  

The DT has the power to:

  • impose conditions in relation to your future conduct or, if you are an individual, on your employment
  • require you to give undertakings in relation to your future conduct
  • reprimand and/or warn you
  • exclude you from membership or authorisation. 

In addition your entity or person at your entity may be ordered to pay:

  • a fine – up to £100,000 for CILEx members, up to £50 million for CILEx Practitioners and Approved Managers and a percentage of an Authorised Entities turnover or up to £250 million whichever is greater;
  • costs of the case.

Where the decision is to withdraw authorisation from your entity the DT may require you to enter into a Practice Management Agreement to close or manage the entity. Details of about Practice Management Agreements can be found here.

Decisions of the Appeals Panel 

The AP has the power to:

  • dismiss or allow the appeal
  • quash the decision; 
  • substitute the decision; and
  • make ancillary orders, including orders for costs and publication

Details of what to include in an appeal notice and the time within which to lodge appeals can be found in the IDAR Handbook under Rule 34

Publication

All Conduct Panels decisions are published where a finding of misconduct is made against you. The decision is published on the CILEx Regulation website and in the Chartered Legal Executive Journal.  Decisions may be published in other publications and employers are informed, where appropriate. Further information can be found in Annex 3 of the IDAR Handbook.