If the Regulator decides to bring a case against you, you will first be served with documents outlining the charges against you and the facts which the Regulator believes backs up its case. You may be expected to respond to these charges in writing. If the Regulator wishes to bring a case against you, you should:
1. Names and addresses of witnesses you wish to call at the hearing – you should not expect to be able to call someone not on that list. If anyone refuses to give evidence on your behalf you can see if the Regulator has the power to make them attend.
2. The case for your defence.
3. If you think the Regulator has information that could help your defence you should ask to see it immediately, otherwise it may be too late. If the Regulator refuses to provide the information, you have the right to ask the tribunal to try and make them do so. However, there may be legal reasons for the Regulator being unable to provide any information.
If you need any more information or advice on regulatory hearings or any other employment matter contact our at Thompsons on 0800 0891331. You’ll get a telephone consultation with one of our expert employment solicitors absolutely free.