RICS guidance hub
RICS investigations and disciplinary proceedings: guidance and solicitor matching
Stage-specific guidance for chartered surveyors, RICS members and regulated firms facing investigation, agreed action or the independent Regulatory Tribunal.
Independent commercial matching service · Not a law firm · General information, not legal advice.
What this guidance covers
A stage-specific map for RICS.
Stage-specific guidance for chartered surveyors, RICS members and regulated firms facing investigation, agreed action or the independent Regulatory Tribunal.
Use the supporting guides to move from the first notice through evidence, hearings, outcomes and any review. Start with the question raised by the latest letter rather than trying to read the whole process at once.
Common entry points
- RICS investigation first contact: what to do
- Responding to RICS allegations and the 28-day invitation
- RICS Regulatory Compliance Orders: agreeing an outcome
- RICS Single Member disciplinary determinations
- RICS interim measures: conditions or suspension
Guides for each stage
8 focused guides in procedural order.
Start with the guide matching the latest letter or decision. From there, you can move to the stages immediately before and after it, or return to this overview.
RICS investigation first contact: what to do
RICS first assesses whether information may justify investigation in the public interest. A regulated member should preserve the notice and source records, identify whether the concern is directed at an individual, a regulated firm or both, and respond to the actual information request.
Read the guide Guide 02Responding to RICS allegations and the 28-day invitation
Where RICS proposes disciplinary action it ordinarily sets out allegations and invites a response. The submission should separate factual admissions, contested evidence, the professional rule engaged, seriousness and the public-interest case for the proportionate route.
Read the guide Guide 03RICS Regulatory Compliance Orders: agreeing an outcome
A Regulatory Compliance Order is an agreed disciplinary outcome for qualifying cases, not informal advice. Before accepting, a member or firm should understand the admissions, sanction, remedial steps, monitoring, costs and publication terms as one enforceable package.
Read the guide Guide 04RICS Single Member disciplinary determinations
A case that may not warrant a full hearing can be referred to a Single Member of the Regulatory Tribunal, including where allegations are not admitted. Written evidence and submissions must therefore be complete, structured and directed to the powers available on the papers.
Read the guide Guide 05RICS interim measures: conditions or suspension
The Regulatory Tribunal may impose temporary conditions or suspension before an investigation concludes where the prescribed public-protection, public-interest or member-interest test is met. The hearing concerns present necessity and workable safeguards rather than final proof of every allegation.
Read the guide Guide 06Preparing for an RICS Disciplinary Panel hearing
Serious cases may be referred to a Disciplinary Panel drawn from the independent Regulatory Tribunal. Preparation should connect each allegation to the governing standard, evidence and witness while keeping liability, sanction and costs as distinct stages of the case.
Read the guide Guide 07RICS sanctions, costs and publication
RICS outcomes can include a caution, fine, conditions, suspension or expulsion, with costs and publication considered under the applicable framework. The decision-maker and date of the conduct affect the available route and should be checked before making sanction submissions.
Read the guide Guide 08Appealing or reviewing an RICS disciplinary decision
An appeal against a disciplinary outcome, review of an interim measure and later application for readmission serve different purposes. The decision, reasons, rules and deadline should be secured immediately so the correct jurisdiction and remedy can be identified.
Read the guideHow an introduction works
The law firm remains independent.
A participating firm would assess your information, decide whether it can help and explain its own terms. An introduction alone does not create a retainer or guarantee an outcome.
- 01Choose your regulator and current stage.
- 02Provide only basic contact, stage and deadline information.
- 03Review the named recipient and referral disclosure before sharing.
- 04The independent firm decides whether to offer a consultation or accept the matter.
Primary-source register
Built from current regulator material.
Sources checked 19 September 2026. Check the linked regulator material for later amendments and use the corrections route if a source or summary needs attention.
Independent matching service
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