Here we set out the regulations that govern ICAEW's disciplinary processes. You can also access archives of ICAEW regulations for cases begun before 1 June 2023.
The regulations that form ICAEW's disciplinary framework
| Disciplinary Bye-laws (DBLs) | ICAEW's Disciplinary Bye-laws contain the core requirements for ICAEW members and firms. Please refer to these regulations for disciplinary matters. |
| Investigation and Disciplinary Regulations (IDRs) | These regulations contain the process provisions for all disciplinary matters. |
| Fitness to Practise Regulations (FTP Regulations) | These regulations contain the process provisions for matters relating to the health of members currently in the disciplinary process. Please refer to these regulations regarding regulatory and disciplinary matters. |
| Fitness to Practise Committee, Provisional Membership Application and Appeal Regulations | These regulations contain the process provisions for matters relating to provisional membership applications and appeals on the same. Please refer to these regulations regarding regulatory matters. |
| Regulatory Review and Appeal Regulations (RRARs) | These regulations set out the standalone appeal process for regulatory appeals. Please refer to these regulations regarding regulatory matters. |
| Readmission and Re-registration Review and Appeal Regulations (RRRARs) |
These consolidate and set out the existing regulations relating to the appeals of decisions made on readmission, re-registration and provisional membership applications. Please refer to these regulations regarding regulatory matters. |
Disciplinary cases begun before 1 June 2023
The current disciplinary framework launched on 1 June 2023. However, if a matter was part-way through our disciplinary process at that point, it will continue in accordance with the old framework until it reaches a significant step in that process. Those significant steps are:
- All matters in assessment / investigation or before the Conduct Committee are now subject to the procedure set out in the bye-laws and regulations in force at the commencement of the assessment;
- All matters before the Tribunals Committee are now subject to the procedure set out in the bye-laws and regulations in force at the time that the matter was referred to the Tribunal;
- All matters before the Appeal Committee are now subject to the procedure set out in the bye-laws and regulations in force at the time that the matter was referred to the Appeal Panel, save where the period for appeal commences before, but expires on or after, 1 June 2023 and the notice of appeal is filed within that period.
Further information
ICAEW Regulatory and Disciplinary Committees
Independent committees hear and decide on disciplinary cases referred by ICAEW's Conduct team.
Find out more
