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RICS Ethics Test study materials
RICS Ethics Test study resources

RICS Ethics Test: Reporting concerns and regulatory compliance: escalation and notification

RICS Ethics Test · Work through your exam, one topic at a time.

All guide sections

Reporting concerns and regulatory compliance: escalation and notification

What this domain tests

This domain tests reporting duties and regulatory compliance: internal escalation, whistleblowing, notifying RICS, cooperating with investigations, CPD, professional indemnity insurance (PII), complaints handling and record keeping. The exam asks what you must report, to whom, and when.

Core obligations

  • Report internally first where appropriate: line manager, compliance, money laundering reporting officer or whistleblowing channel.
  • Report serious concerns to RICS Regulation if internal routes fail or the matter is a conduct issue.
  • Notify RICS promptly of specified matters, such as criminal convictions, insolvency or disciplinary action by another regulator, as required by RICS.
  • Cooperate with RICS investigations; do not obstruct or destroy records.
  • Firms must maintain PII, a complaints handling procedure and notify RICS of material changes.
  • Keep records of reports, decisions and evidence.

In the UK, the Public Interest Disclosure Act 1998 protects qualifying disclosures. RICS ethics expects you to act, not remain silent.

Worked example

You discover a senior colleague has been certifying fire risk assessments without visiting sites. You raise it with your line manager, who tells you to "leave it". The risk to residents is serious. Document the concern and escalate to the firm's compliance or whistleblowing lead. If the firm does not act, report to RICS Regulation and, where relevant, the building safety regulator. Confidentiality does not justify concealment of a serious risk to safety. Rule 5 (public interest) and Rule 1 (integrity) support reporting. Do not wait for proof beyond doubt; a reasonable belief is enough to raise a concern.

Traps that cost marks

  • Staying silent because you fear breaching confidentiality.
  • Reporting to RICS before trying internal routes when internal action is possible.
  • Assuming "not my responsibility" because a senior colleague signed.
  • Failing to keep a written record.
  • Ignoring notification duties such as convictions or regulatory action.