This work addresses the special procedural and practical aspects of representing parties in regulatory tribunals. It covers the relevant procedural aspects of the law, especially with regards to City and the variety of regulatory and disciplinary tribunals in the field of financial services.

This title addresses the legal, procedural and practical aspects of representing parties in tribunals which exercise disciplinary or regulatory functions over members of a profession, trade or occupation. As in all adversarial proceedings, disciplinary cases inevitably throw up issues on which the representative will need to advise. That may happen before the hearing, during it, or (in respect of appeals and reviews) after the hearing. This book provides the answer to the common, and most of the less common, issues of practice, procedure and evidence that can arise. Each tribunal has its own set of rules, each must operate within a framework established by legal principle, case law and statute (particularly the Human Rights Act 1998). This title sets out that framework and gathers together all the law in one place. The tribunal system established under the Financial Services and Markets Act 2000 is covered in detail and specific attention given to other high profile Tribunals (such as the GNC, Solicitors' Disciplinary and Bar Council) and the case law of particular application that arises from these.

Introduction
The Human Rights Act 1998
The Regulatory Framework
Access
Disciplinary Process
Evidence
The Standard and Onus of Proof
The Hearing
Penalties and Sanctions
Appeals and Applications for Re-admission
Judicial Review
Civil Actions and Tribunals
The Financial Services and Markets Act 2000
Appendices