Regulatory Hearings - If they decide to prosecute

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: 

• Keep to the timetable as much as possible - You will be informed of a timetable and a date for the hearing.  It is important that you do everything possible to keep to this timetable.  If this timetable is however impossible you should notify the Regulator immediately outlining your reasons why.  The Regulator will expect disciplinary proceedings to take priority over all other professional or social engagements, however in cases of bereavement, medical treatment or a court appearance the Regulator may amend the timetable.

• Get information to support your case – It is likely you will be expected to notify the tribunal of:

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.

• In the case of complex hearings – You might need to attend a pre-trial hearing which will deal with timetabling, disclosure of documents, admissibility of evidence and challenges to the validity of a charge.  You should have legal representation at such a meeting.

If you need any more information or advice on regulatory hearings or any other employment matter contact our employment experts at Thompsons on 0800 0891331.  You’ll get a telephone consultation with one of our expert employment solicitors absolutely free.