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Prior Conduct

Who should declare

Applying to become a Newcastle Member, Newcastle Practitioner, Approved Manager

When you apply to become a Newcastle Member, a Newcastle Practitioner or an Approved Manager you will be required to answer questions about your Prior Conduct.

If you wish to own an Authorised Entity you will need to declare your Fitness to Own.

 

Existing Newcastle Member, Newcastle Practitioner, Approved Manager

If you are an existing Newcastle member, Newcastle Practitioner or Approved Manager you must declare any Prior Conduct to Newcastle Regulation at the time the Prior Conduct occurs.

A list of events that constitute Prior Conduct can be found on the Prior Conduct Declaration which you can download on the left-hand side of the page.


    

When to declare

You must declare Prior Conduct on all Newcastle and Newcastle Regulation application forms, including the Newcastle Annual Renewal Subscription, or at the time the Prior Conduct occurred, whichever is sooner.


    

What to declare

Our prior conduct questions and guidance set out what you must tell us and what the definitions mean.

You must declare in writing if you have at any time:

  • been convicted or accepted a caution in the UK for a criminal offence, or been convicted elsewhere for an offence which, if committed in England and Wales, would constitute a criminal offence (other than a motoring offence, not resulting in disqualification)
  • been subject to investigation or proceedings about your fitness to practice by any regulatory or professional body (including findings or orders currently under appeal)
  • been bankrupt or if you have made a composition with creditors
  • been removed from being a trustee of a charity, or removal from being concerned with the management or control of a charity
  • been removed from office as a member, director or manager of any public body
  • been disqualified from acting as a director of a company
  • been the subject of a civil judgment
  • been involved in any other matter which may be relevant to a decision by Newcastle Regulation to admit, authorise or approve that Applicant

Chartered Legal Executives (Fellows) and Newcastle Practitioners are exempt from the Rehabilitation of Offenders Act 1974. You must therefore declare all convictions, including those that are spent. If you are in any other grade of membership you do not need to declare spent convictions until you make an application to become a Fellow of Newcastle or a Newcastle Practitioner. Protected cautions or convictions, and filtered convictions will not show up on your DBS or Disclosure Scotland check if they are not meant for disclosure.


    

How to declare

It’s now quicker and easier to make a conduct declaration. You can declare either on Newcastle or, if you are a Newcastle member, on Newcastle . You only have to make a declaration in one place. If you have any problems please contact us at email.


    

What happens after I make the declaration?

Prior Conduct declarations are considered and determined in accordance with the Enforcement Rules which you can download on the left-hand side of the page.

Guidance on the Enforcement Rules can be found in the Enforcement Handbook and the annexes to it. Annex 2 includes guidance on sanctions that may be imposed and factors that are taken into account when making decisions.

Decisions can be made by Newcastle Regulation or by the Professional Conduct Panel depending on the nature of the conduct declared and the grade of membership/position being applied for.

 

New applicants and Newcastle Members, Newcastle Practitioners and Approved Managers

If you have declared Prior Conduct Newcastle Regulation can approve your application – this is referred to as a Delegated Decision in the Enforcement Rules.

If the conduct that you have declared does not fall within a Delegated Decision your conduct will be referred to the Professional Conduct Panel, the Professional Conduct Panel can:

  • approve your application
  • refuse your application
  • decide to take no action and direct Newcastle Regulation how to deal with declaration
  • impose conditions on you in respect of future conduct and (if you are an individual) your employment
  • require you to give an undertaking regarding your future conduct
  • reprimand (existing Approved Managers only), warn as to future conduct
  • refer the matter to the Disciplinary Tribunal as it was an allegation of misconduct (existing Approved Managers only)

Before making decisions the Professional Conduct Panel may seek further information from you or request your attendance.