Guidance

Regulatory decisions: Procedures and guidance for regulatory hearings

Guidance to assist Directors or the Regulatory Panel to carry out their regulatory functions in accordance with our policies and procedures and to comply with the law.

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Published
16 May 2022

Last updated
1 May 2024 - Changes

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Contents

• Regulatory decisions: Procedures and guidance for regulatory hearings

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• 1 - Introduction
• • The purpose of this guidance
  • Scheme of delegations
  • Referral of case to a regulatory hearing
  • The legal framework for decision making
  • Conflicts of interest
• 2 - Preparing for the hearing
• • Introduction
  • Documentary and other evidence
  • Case management hearings
• 3 - The hearing
• 4 - The decision making process for regulatory decisions
• • Determining the facts
  • Deciding what should be done in the light of the facts found

Summary of responses and our position - Changes to Regulatory Panels consultation

Contents

1. Proposal 1: Quorum and composition of Regulatory Panels, and the Adjudicator role Response to the proposal for quorum and composition of Regulatory Panels, and the Adjudicator role
2. Proposal 2: Presumption that decisions will be made on the papers alone, and the test for convening a hearing Response to the presumption that decisions will be made on the papers alone, and the test for convening a hearing

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Last updated: 1 May 2024

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