We welcome applications for this course from suitably qualified non-members. Please explain your interest and set out any relevant experience in a cover letter and a brief CV. Such applications are subject to a supplemental fee.

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Timetable to follow

Programme objectives

On completion of this training programme, participants will have:

• An understanding of the rationale, theories and types of regulation;
• Gained knowledge of the main regulatory sectors, as well as the various mechanisms for regulatory enforcement;
• An appreciation of the skills and practical know-how necessary to advise regulatory bodies;
• An understanding of regulatory prosecutions and Judicial Review actions;
• Acquired enhanced professional expertise in litigation and oral hearings.

Programme Structure and Approach to learning

This new diploma will run over six months from autumn 2017. It is open to solicitors, barristers, and suitably qualified professionals who work in regulatory affairs, compliance functions or those who wish to transition to such roles. It provides participants with an overview of the rationale for regulation, the various types of frameworks, and introduces participants to key theories and concepts guiding regulation. It demonstrates the cross sectoral impact of regulation as well as introducing a number of the main regulatory sectors, including financial, health, energy, telecoms and professions. It examines some of the key aspects in providing legal advice to a regulatory body and addresses the mechanism for enforcing regulation both in the courts and at quasi-judicial level including professional conduct committees, High Court challenges and Judicial Review actions. Practical skills workshops are an integral part of this diploma and will provide advocacy training relevant to oral hearings and inquiries. It will include a mock oral hearing and role-play sessions which will deepen the learning experience and provide an opportunity for participants to put their learning into practice. In the context of decision-making skills, there will be a session on ethics and the social context of law addressing unconscious bias, sensitivity training awareness, and dealing with vulnerable individuals.

Each module will also include a lecture overview on one of the various sectors; financial, health, medicines, energy, environmental.

The Diploma in Regulation Law and Practice programme is based on the following module scheme and covers key themes as listed below:

Module 1: Introduction to regulation law

• Rationale for regulation and context; Current trends and future reforms
• Regulation- economics, corporate governance, risk management, competition
• Overview of the various types of regulation and sectors
• Function of regulation and various forms of regulation
• Private v public regulation
• Compliance v complaints regulation
• Regulatory accountability and independence

Module 2: Industry Regulation

• Financial services regulation
• Competition and Consumer Protection Commission
• ComReg
• Energy; environmental
• Health products
• Role of the Ombudsman

Please give us a brief overview of your background.

Module 3: Regulation of the Professions

• Overview of the Professions
• Teachers, solicitors, doctors, health and social care, veterinary practitioners, architects (statutory bodies)
• Accountants, engineers (membership bodies)
• Professional Codes of Conduct and Ethics
• Professional disciplinary and fitness to practice hearings
• Fair procedures, role of experts, standards of proof
• Guidelines and evidential rules at oral hearing

Module 4: Advising on regulation issues

• Data protection, confidentiality, Freedom of Information
• Common issues encountered
• Delegation of authority, statutory interpretation, transparency
• Advising on use of power
• Correct procedure for dealing with whistleblowers

Module 5: Enforcing Regulation

• Enforcement pyramid
• Audits and investigations
• Overview of phases in regulatory cycle
• Role of mediation
• Grievance, pre-inquiry phase, settlement negotiations, hearings and decision
• Prosecutions
• Appeals/review
• Challenges/judicial review

Module 6: Challenges to Decisions of Regulatory bodies, Litigation

• Challenges to processes and procedures
• Case preparation and management
• Emergency applications, injunctions
• Judicial review/Appeals
• Misfeasance in public office

Module 7: Oral hearings, Inquiries

• Independence and accountability, ethics
• Dealing with vulnerable individuals
• Conflict of interest/bias
• Investigations
• Sanction, prior disciplinary history
• Publication of decisions
• Suspensions
• The role of the Legal Assessor

Skills Sessions & Workshops

There are a number of practical, ‘hands-on’ workshop sessions during the course. These will include the following; mock inquiry hearing & advocacy skills sessions based on professional competence/ disciplinary or ‘fitness to practise’ prosecution and also training re procedure(s) at inquiry. The final workshop will cover pre-exam preparation.

Workshop 1: Saturday 25 November 2017

Workshop 2: Saturday 03 February 2018

Workshop 3: Saturday 03 March 2018

Workshop 4: Saturday 10 March 2018

Audience

This course is suitable for the following:

• Solicitors, barristers, and trainees who advise clients on regulatory matters;
• Suitably qualified professionals such as legal assessors;
• Members of complaints and disciplinary committees;
• Regulatory compliance professionals;
• Professionals who aspire to work in the area of regulation.

Faculty

The teaching faculty for this diploma will be drawn from experienced legal practitioners and experts in the field of regulation, both from this jurisdiction and internationally.