Decision of Head of Regulation
Date of Order: 6 September 2023
Regulated Member Name: David Clayton
RICS Membership Number: 1237058
Location: Hereford, UK
The Regulated Member has admitted the following breach of the rules of conduct, and accepted liability for disciplinary action and the imposition of Regulatory Compliance Order for the following:
- From about 1 July 2022, Mr Clayton, although officially named as a partner in Heritage House Surveys LLP (The Firm), was a partner in name only and had stood back from the running of the Firm. Mr Clayton remained as responsible principal for the Firm after July 2022. Mr Clayton confirmed to RICS in an annual return dated 14 April 2023 that he held the appropriate level of influence and responsibility as responsible principal for the Firm. At no time did Mr Clayton inform RICS that he held little or no influence or responsibility within the Firm. Mr Clayton failed to comply with his professional obligations to RICS by not notifying RICS of his lack of influence and responsibility within the Firm.
- Mr Clayton failed to comply with his obligations to RICS in that, as the responsible principal of Heritage House Surveys LLP (The Firm), he failed to cooperate in providing information sought from him on the following dates:
i. 6 July 2023
ii. 28 July 2023
iii. 31 August 2023
iv. 9 October 2023
Outcome: Regulatory Compliance Order (RCO)
This requires the Regulated Member to pay a fine of £500 in relation to the allegation 1, accept a reprimand in relation to allegation 2 and contribute £500 towards the cost of investigation and agree to publication of a summary of the Order for a period of 12 months.