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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.

WHAT'S NEW?

Since the last edition the regulatory arrangements of most of the important statutory regulators have undergone a massive restructuring by Parliament, which is reflected throughout the new edition, notably in the chapters relating to legal, financial and health services.

Among the many notable recent cases examined in this new edition are:

• R v (On the application of Coke-Wallis) v ICAEW - the perils of taking shortcuts in investigations and the charging process
• Bonhoeffer v GMC - the right to cross examine
• Baxendale-Walker v Middleton & Ors - the role of privilege in the Solicitors Disciplinary Tribunal
• R(Hill) v ICAEW - waiver of natural justice
• Holmes v Royal College of Veterinary Surgeons - impartial tribunals and the incompatibility of tribunal members' roles
• Hazelhurst & Oths v SRA - the desirability of indicative sanctions
• Mattu v University Hospital Coventry and Warwickshire - Convention rights in Interim Orders

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

Brian Harris OBE QC
Andrew Carnes Barrister

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 

Appendix

• The Human Rights Act 1998

"one of the leading textbooks in the field of disciplinary and regulatory proceedings, providing an authoritative examination of the general principles that apply to the majority of regulatory and disciplinary tribunals"
Association of Regulatory and Disciplinary Lawyers Bulletin

"the leading work on this important area of law ... Eminently readable as well as thorough and analytical"
Phillip Taylor MBE and Elizabeth Taylor of Richmond Green Chambers

REVIEWS OF THE PREVIOUS EDITIONS

"this excellent and authoritive work is an invaluable aid not only to regulatory enforcement lawyers but to anyone working in a regulated industry or dealing with public bodies"
Association of Regulatory and Disciplinary Lawyers Bulletin

"the first source of reference for anyone dealing seriously with this subject"
New Law Journal

"the latest edition of this excellent and authoritive work is an invaluable aid not only to regulatory enforcement lawyers but to anyone working in a regulated industry or dealing with public bodies"
Sidney Myers, Partner, Allen & Overy LLP

"truly authoritative and highly relevant. It is an elegant and beautifully crafted tome... It has everything you need and more beside in a highly readable text"
Justice of the Peace

"essential for those dealing in this area of law"
Professional Briefing

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