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Regulated professionals are bound by the code of conduct set by the relevant regulator. For solicitors this is the SRA's Code of Conduct. For finance professionals it's often the FCA Handbook. If you're a doctor the relevant principles, values and standards are set out in the General Medical Council's Good Medical Practice.
Regulated professionals across all manner of industries will know the rules applicable to their profession and are expected to abide by them in day-to-day professional life in order to ensure they remain fit and competent to practise.
It is important to know how to behave and what to do if a referral is made against you to your regulator. Data suggests the majority of referrals are made by employers but a regulatory referral can be made by anyone – a patient, a family member, a colleague, a member of the public. Anyone.
A referral can be about anything: something you did here in the UK or abroad – your practice, any perceived mistakes, alleged lack of competence, that someone considers that you are not well enough to practise.
Once a referral is made to the regulator, they have a statutory duty to look into it. The regulator will notify the regulated individual of the referral and will ask for details in respect of their work and practice. Note to self: just because you think you have not done anything wrong, do not assume that the regulator will also come to the same conclusion. You cannot afford to just ignore that the process is underway. This will not go away of its own accord. You also need to remember that you owe the regulator a duty of candour and you have a duty to cooperate with any investigation so you must behave in a manner which is honest and transparent. Attempting to conceal any information will only make things worse.
You will be invited to explain your understanding of what happened. Whether or not you engage with the regulator, the regulator has to comply with their duty to look into the referral and gather sufficient information to decide if an investigation is warranted. But I repeat: rarely will an issue go away once the process has begun.
The best thing you can do in such a circumstance is to obtain independent legal advice, preferably before you take any steps and with a degree of urgency. This is so that you can ensure that:
- You continue to comply with your regulatory obligations;
- You obtain advice on what the process will be like so that you understand what is expected of you;
- You understand the allegations against you if the referral escalates to a formal investigation – you will likely need help to develop robust submissions with the aim of convincing the regulator that there is no case to answer;
- In the event that the investigating committee panel decides there is a case to answer, you will have the legal advice and representation to defend your position at a final hearing; and
- You have support and expert guidance throughout what is likely to be a long and fairly stressful period of time.
It might be that interim conditions are placed on your practice while the investigation is underway and again you would be well advised to seek legal advice. Such conditions are periodically reviewed and it can make life more difficult for you if they are still in place when a final hearing is due to take place.
Don't forget to let your indemnity insurer know that all of this is going on either.
Navigating regulatory processes is time-consuming and complex. The best way to ensure that you put yourself in the best possible position is to take expert advice from the beginning. After all your ability to practice your chosen profession may be at stake.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
