Defence for veterinary surgeons, chartered surveyors, security licence holders and legal executives
Most regulatory defence firms cover doctors, nurses and solicitors, and stop there. The professions on this page face the same architecture — an investigation, a threshold test, a public hearing and a sanction that can end a career — with far fewer specialists who understand it.
Veterinary surgeons and veterinary nurses — RCVS
The threshold is higher than most people assume. The statutory test under the Veterinary Surgeons Act 1966 is “disgraceful conduct in a professional respect”, known in practice as serious professional misconduct: conduct falling far short of the standard expected of a reasonably competent veterinary surgeon or veterinary nurse.
That word matters. Negligence is falling short; misconduct is falling far short. The RCVS has no jurisdiction over negligence — that is a matter for the civil courts or mediation. A great many complaints against vets are, properly analysed, negligence complaints, and saying so clearly at the outset is often the whole defence.
The process. A concern goes to the Preliminary Investigation Committee (or the RVN PIC for nurses), which filters at two stages. It may close the case, refer it to the Charter Case Committee, or refer it to the Disciplinary Committee.
The Charter Case Committee is the outcome to aim for in a case that cannot simply be closed. Established in July 2023, it handles cases that meet the threshold for a hearing but where a public hearing is not in the public interest. It can issue a confidential warning or a public warning without a hearing, and it does not affect your registration status. Steering a case towards this route, where it is available, is frequently the most valuable thing that can be done.
The Disciplinary Committee sits in panels of (typically) five, hears evidence on oath and sits generally in public, though it may hear some evidence in private. Sanctions run from no sanction despite a finding, through reprimand and warning, to suspension and removal from the Register.
Appeal lies to the Judicial Committee of the Privy Council under section 17 of the 1966 Act, within 28 days of service of the notice of the direction. Critically, the direction does not take effect until the appeal period expires or the appeal is determined — so you remain on the Register pending appeal. Veterinary nurses have an equivalent 28-day route.
Reform is proposed, not enacted. The Government published a White Paper on 9 July 2026 proposing new legislation to replace the 1966 Act, including a modern fitness to practise framework, protection of the “veterinary nurse” title, and regulation of the wider veterinary team and of veterinary businesses. The Veterinary Surgeons Act 1966 remains the governing legislation.
Chartered surveyors — RICS
RICS is a Royal Charter body and self-regulating, not a statutory regulator. Conduct is governed by the RICS Rules of Conduct, with process under the Regulatory Tribunal Rules and the Sanctions Policy. The civil standard applies.
Three routes, by seriousness. After investigation, the Head of Regulation decides which applies:
- Less serious — a Regulatory Compliance Order (Consent Order) by agreement, which can include a fine, caution or conditions.
- Moderately serious — referral to a Single Member of the Regulatory Tribunal, who can determine the case on the papers. Note carefully: a Single Member can go as far as expulsion. It is entirely possible to be expelled without a hearing, and that possibility is routinely underestimated.
- Most serious — referral to a Disciplinary Panel of the Regulatory Tribunal, which holds a hearing.
Hearings are in public. A private hearing may be requested but is granted only in exceptional circumstances.
Sanctions: caution; reprimand; undertakings as to future conduct; fine; conditions on membership or firm registration; orders to take specified action; and expulsion of a member or deregistration of a firm. Costs can be ordered against you.
Appeal is to an Appeal Panel of the Regulatory Tribunal, and the application must be served within 28 days of service of notification of the decision. Late appeals require permission from the Presiding Chair.
Because RICS is a Charter body rather than a statutory regulator, there is no general statutory appeal to a court beyond the Appeal Panel; the residual route is judicial review. The RICS regulatory function has been through substantial reform following the Levitt Review and the Bichard RICS Review (June 2022, 36 recommendations), which retained self-regulation but strengthened the independence of the Standards and Regulation Board. Implementation has continued through 2026.
Security industry licences — SIA
The test is not misconduct but the statutory licensing criteria: age, identity, right to work, the required SIA-recognised qualification, and criminal record checks. The core judgement is whether the information indicates that, in performing the role, you are more likely than not to be violent, dishonest, or otherwise to behave in a way that puts the public at risk.
Refusal or revocation is typically triggered by relevant offences, custodial sentences over 48 months, multiple relevant convictions, or information indicating dishonesty or risk of violence. Sexual offences and child abuse offences attract absolute refusal. Licences can also be suspended pending investigation.
There is no hearing. The decision is administrative and made on paper, which puts everything on the quality of the written representations.
The appeal, and the deadline that ends most cases. Under section 11 of the Private Security Industry Act 2001, an appeal against refusal, conditions, modification or revocation lies to the magistrates’ court — and it “must be brought before the end of the period of twenty-one days beginning with the day on which the decision appealed against was first notified“.
Read that wording carefully: 21 days beginning with the day of notification, so the day you are notified is day one. This is the single most common way people lose the right to appeal.
A further appeal lies from the magistrates’ court to the Crown Court. The court applies the SIA’s own section 7 criteria, not a free-standing reasonableness test. And a refused or revoked licence remains valid while the appeal is pending — though take advice on the precise position, including any suspension.
Chartered legal executives — CILEX Regulation
CILEX Regulation Limited (CRL) is the independent regulator of CILEX members, an approved regulator under the Legal Services Act 2007. Conduct is governed by the CILEX Code of Conduct, and the civil standard applies.
One thing to correct at the outset: regulation is not moving to the SRA. The SRA Board agreed in June 2024 to accept CILEX’s request to transfer regulation, the process stalled, and in May 2026 the SRA and CILEX formally ended the talks. CRL remains your regulator. Any advice or page telling you the transfer is pending is out of date.
The process. Complaint or report → CRL investigation → either Determination by Consent where there is a full admission, or referral to:
- a Professional Conduct Panel — two independent lay members and one Chartered Legal Executive — which can impose conditions, accept undertakings, issue reprimands and warnings, dismiss, or refer up; or
- a Disciplinary Tribunal — two independent lay members and one Chartered Legal Executive — holding a formal public hearing, with decisions published on the CRL website.
Interim orders suspending or restricting membership are available in serious cases pending resolution.
Sanctions: warning; reprimand; conditions on future conduct or employment; contribution to investigation and case costs; substantial fines; removal of a firm’s authorisation for particular reserved activities; and exclusion from CILEX membership, which can be permanent. Note that exclusion is available even by Determination by Consent — so a route that looks like a settlement can still end your membership.
Appeal is to a CRL Appeals Panel, which has the same powers as the original panel. Both you and CRL may appeal.
Other regulators we act for
We also advise registrants of the General Osteopathic Council, the General Chiropractic Council, and other smaller professional and licensing bodies, together with professionals facing DBS barring, loss of an NHS Performers List place, and regulatory issues arising from criminal proceedings.
If your regulator is not listed, the architecture is almost always the same — an investigation, a threshold test, a decision-making body, a hearing and a sanction — and the defensive priorities are the same too. Call us and we will tell you honestly whether we are the right firm for it.
What these cases have in common
Whatever the regulator, four things decide the outcome more often than the underlying facts:
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About Regulation Resolution Solicitors
Regulation Resolution Solicitors is a specialist regulatory defence practice. We act for regulated professionals facing investigation, disciplinary proceedings and fitness to practise allegations before their regulators and professional tribunals.
Regulatory defence is the whole of what we do, not a sideline to a general practice. Our lawyers have worked inside the regulators themselves, and we apply that understanding of how cases are built, assessed and decided from the first written response onwards — the stage at which regulatory cases are most often won or lost, long before any hearing.
Written by Regulation Resolution Solicitors. Last reviewed: 11th September 2026
This page is general information, not legal advice on your situation.
