10.—(1) Where the Regulator considers that a question has arisen as to whether an associate’s fitness to practise is impaired, the Regulator must—
(a)carry out an initial assessment, and
(b)where the Regulator considers appropriate, refer the matter to a case examiner.
(2) The case examiner to which a referral is made under paragraph (1)(b) must take one of the steps specified in paragraphs (3) and (4).
(3) The step specified under this paragraph is for the case examiner to determine whether the associate’s fitness to practise is impaired and—
(a)where the associate’s fitness to practise is found not to be impaired—
(i)take no further action, or
(ii)issue the associate with a warning;
(b)where the associate’s fitness to practise is found to be impaired—
(i)subject to paragraph (8), impose a Final Measure, or
(ii)refer the matter on to a Panel.
(4) The step specified under this paragraph is for the case examiner to refer the matter on to a Panel.
(5) A Panel to which a referral is made under paragraph (3)(b)(ii) must satisfy itself as to whether, and under paragraph (4) must determine whether, the associate’s fitness to practise is impaired and—
(a)where the associate’s fitness to practise is found not to be impaired—
(i)take no further action, or
(ii)issue the associate with a warning;
(b)where the associate’s fitness to practise is found to be impaired—
(i)take no further action, or
(ii)impose a Final Measure.
(6) The case examiner may withdraw a referral to a Panel if the Panel has not yet satisfied itself as to whether, or determined whether, fitness to practise is impaired.
(7) Paragraph (5) does not apply to a referral which is withdrawn under paragraph (6).
(8) If a case examiner determines that an associate’s fitness to practise is impaired, the case examiner may only impose a Final Measure if the associate—
(a)has agreed to the Final Measure being imposed on the basis that—
(i)the associate’s fitness to practise is impaired, and
(ii)the associate has accepted the case examiner’s findings, or
(b)has been notified that the case examiner proposes imposing a Final Measure and a reasoned response by the associate has not been received by the case examiner within the period prescribed under paragraph 11(1)(a) of Schedule 4.
(9) A notification under paragraph (8)(b) must—
(a)request that the associate provide a reasoned response within the prescribed period, and
(b)inform the associate that a Final Measure may be imposed if the associate fails to respond.
(10) A Final Measure imposed under paragraph (3)(b)(i) or (5)(b)(ii) may require that an associate’s entry in a part of the register (into which the register is divided under article 5(2)(a)) be—
(a)subject to condition,
(b)suspended, or
(c)removed.