Disciplinary sanctions: consultation

10 July, 2017

The CLC, the regulator of specialist conveyancing and probate lawyers has today published proposed guidelines for sanctions to be used by its Adjudication Panel when making decisions in disciplinary cases.

The new guidance will help the Adjudication Panel, ensuring consistency and a common view of the appropriate level of sanction in different cases. It will also give stakeholders confidence in the robustness of regulation by the CLC.

Very importantly, the Sanctions Guidance will be a clear indicator of the CLC’s view of the gravity of different types of breaches of its Code of Conduct.

Chief Executive of the CLC, Sheila Kumar said: ‘Establishing a Sanctions Guideline policy is an important step for the CLC and its Adjudication Panel.  Our proactive approach to helping firms deal with issues before they threaten the client or public interest means that comparatively few cases escalate to a degree of seriousness that means they reach the Panel for imposition of sanctions. Our proposed approach enhances transparency to support consumer confidence and to inform our regulated community and stakeholders better about the rigour of our regulatory approach.

‘I hope that many CLC lawyers and many of our partners in regulation and across the conveyancing and probate sector will take the opportunity to comment on our proposals.’

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