How we deal with reports

We follow the CILEx Regulation Enforcement Rules when dealing with reports of wrongdoing against a person or firm. The Enforcement Handbook explains how we do this.

When you report a person or firm to us, we will carefully review the information you have provided to see whether there is evidence that the Code has been broken in a serious way.

We may ask you for more details and gather information from other people and organisations, such as the person’s employer, the police, other law enforcement agencies, other regulators, and potential witnesses.

We will usually tell the person or firm you have reported about the case to give them a chance to respond. We may ask you to comment on their response, or the information we have gathered, if we decide that it will help with the case.

After we have gathered all the information we need, we will review it and either:

  • make a decision ourselves about what action to take; or
  • ask one of our disciplinary panels to decide what action should be taken. You can find out about our disciplinary panels here.

It is important to know that we are independent and do not represent you, or any of the people or firms we regulate. We act independently to uphold the standards expected of those we regulate and to help ensure that they do not harm their customers or the public.