What this means
Start with the exact decision in front of you.
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.
Immediate priorities
Organise the position before responding.
Compare each admission with the established evidence
Test every condition and monitoring step against actual practice
Record costs, publication and breach consequences before agreement
Detailed guidance
The procedure, evidence and possible route from here.
01
Understand what the agreement decides
A Regulatory Compliance Order records that a regulated member accepts liability to disciplinary action and agrees the proposed regulatory outcome. It is therefore more than a practical improvement plan. Read the allegation, factual basis and admission together. The wording should describe the established conduct accurately and avoid importing wider criticism from a complaint that has not been accepted. Ask which rules and sanctions policy govern the proposed order.
Eligibility depends on the procedural framework and seriousness of the case. An agreed order may be considered for less serious matters, while cases requiring a public hearing or a contested determination may follow another route. Do not treat the offer itself as proof that acceptance is the safest choice. Compare the evidence, likely disputed issues and the powers available through alternative routes before deciding whether informed agreement is possible.
- Identify every fact and breach being admitted
- Confirm the rule version governing the proposal
- Compare agreement with the realistic alternative routes
02
Test each sanction and compliance term
The order may include a caution, fine, conditions or steps designed to secure future compliance. Translate each term into a named action, responsible person, evidence and date. A condition requiring external review or supervision must be feasible within the member's actual role and firm. Ambiguous language can create later disagreement about breach even where the member attempts to comply, so resolve uncertainty before signing.
Check the complete financial and operational effect, including investigation costs, follow-up visits, reporting, training and business interruption. Evidence offered to justify a narrower term should address the particular risk: completed file reviews, revised quality controls, independent audit results or verified training application may be relevant. The purpose is to show why the proposed package is sufficient and workable, not to negotiate each item without reference to public protection.
- Convert every condition into a compliance plan
- Verify external supervisors and reviewers are available
- Calculate costs beyond any stated fine
03
Plan publication and future compliance
The agreement should be reviewed for publication terms and its effect on membership, firm registration, insurance, tenders and employer reporting. Publication may reproduce admissions or sanctions, and collateral forms may ask about regulatory findings even after conditions end. Obtain the exact proposed text where possible. A clear appreciation of those consequences is part of informed agreement and may expose wording that needs correction before approval.
Once approved, keep a term-by-term compliance file with dated evidence rather than reconstructing it later. If a required step becomes impossible, contact RICS through the formal route before missing it; unilateral workarounds may not satisfy the order. Failure to comply can itself prompt further action. Calendar completion, reporting and any review point, and retain confirmation when RICS accepts that an obligation has been met.
- Review proposed publication wording
- Maintain contemporaneous proof of compliance
- Raise an unworkable term before breach
Key questions
Keep the analysis tied to this stage.
Whether an agreed order is available for the case
Whether the proposed sanction addresses the established risk
Whether the member gives informed and workable agreement
Advice is provided only by the regulated firm that accepts a matter.
Common questions
Clarifying the route without assuming the outcome.
Is a Regulatory Compliance Order confidential?
Do not assume so. The proposal should be checked against the current publication policy and its express terms before agreement.
Can I accept the sanction but dispute the allegations?
An agreed order ordinarily depends on accepting liability and the stated factual basis. If material facts remain disputed, the suitability and wording of the route need careful review.
Connected guidance
Continue through the topic map.
Use the hub for the full sequence or choose the connected route that matches the notice.
Official sources
Check the material for this question.
Sources checked 19 September 2026. Rules change, so compare the current notice and linked official material and tell the operator if a citation or summary needs correction.