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Disciplinary Bye-laws definitions

View the disciplinary Bye-laws definitions.

A

AADB Scheme

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AADB Scheme

This definition relates only to the version 'effective until 28 September 2011'.

AADB Scheme (www.frc.org.uk/aadb) means the Scheme made and adopted by the managing board of The Accountancy Investigation and Discipline Board Limited (now the AADB), in which the Institute participates pursuant to Article 1(b)(viiA) of the Supplemental Charter).

Appeal Committee

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Appeal Committee

Appeal Committee means the Appeal Committee appointed under the Schedule to these bye-laws.

approved training

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approved training

approved training means practical training and experience approved by the Council and obtained at or from an office which is for the time being authorised under regulations to train provisional member;

authorised firm

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authorised firm

A firm regulated by the Institute in its capacity as:

(a) a recognised professional body under the Financial Services Act 1986, or

(b) as a designated professional body under the Financial Services and Markets Act 2000, or

(c) in any comparable capacity under any legislation, wherever in force, for the time being designated in regulations.

B

bye-laws

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bye-laws

All the bye-laws of the Institute for the time being in force.

C

complainant

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complainant

Complainant, except in bye-laws 24A and 34B, in relation to a complainant or formal complaint, means any of the following persons

(a) the person who under bye-law 9(1) brought to the attention of, or reported to, the head of staff any of the facts and matters which constitute the complaint;

(b) any person, who, before the Investigation Committee has under bye-law 15 decided whether in its opinion the complaint discloses a prima facie case, has made written representations to the head of staff on any of those facts and matters; and

(c) if the person mentioned in paragraph (a) of this definition, being an individual, dies before the complaint has been finally disposed of under these bye-laws, his personal representative.

complaint

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complaint

Complaint, except in bye-law 11 or where the reference is to a previously mentioned formal complaint, has the meaning given by bye-law 9(3).

Council

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Council

Council means the Council of the Institute.

D

defendant

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defendant

defendant means a member, firm or provisional member against whom a formal complaint has been preferred to the Disciplinary Committee.

director

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director

director (save in paragraph (a) of the definition of member firm below) includes a member of a limited liability partnership.

Disciplinary Committee

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Disciplinary Committee

Disciplinary Committee means the Disciplinary Committee appointed under the Schedule to these bye-laws.

disciplinary record

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disciplinary record

disciplinary record, in relation to any person or body, comprises all orders, findings, fines and penalties to which he has at any time been subject, being orders, findings, fines or penalties of any description prescribed for the purposes of this definition by regulations.

E

Executive Committee

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Executive Committee

This definition relates only to the version 'effective until 28 September 2011'.

Executive Committee means the Executive Committee appointed under the JDS.

F

firm

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firm

Firm means -

(a) a body corporate or partnership including a limited liability partnership which is wholly or partly composed of members engaged in public practice or was so composed at, or at any time since, the relevant time;

(b) a member who is engaged in public practice as a sole practitioner or was so engaged at, or at any time since, the relevant time; or

(c) a person or body who was a regulated firm at the relevant time;

and in this definition, the relevant time means the time relevant to any facts or matters which under bye-law 9 have been reported to the head of staff, or have been brought or come to his attention, as indicating a possible liability to disciplinary action.

formal complaint

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formal complaint

formal complaint means a complaint preferred by the Investigation Committee to the Disciplinary Committee under bye-law 15, and in relation to a tribunal means the formal complaint which the tribunal was appointed to hear.

G

H

head of staff

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head of staff

head of staff means the person appointed under Principal Bye-law 50.

hearing

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hearing

hearing, in relation to a formal complaint or an appeal, includes the making of any finding or order on or in connection with the complaint or appeal, and also includes a re-hearing.

I

insolvency licence

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insolvency licence

insolvency licence means an authorisation issued by the Institute to a member pursuant to the Insolvency Act 1986 or the Insolvency (Northern Ireland) Order 1989 (as from time to time amended) as a precondition to the member acting as an insolvency practitioner.

Institute

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Institute

Institute means the Institute of Chartered Accountants in England and Wales.

investigation and discipline scheme

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investigation and discipline scheme

means any scheme in which the Institute participates pursuant to articles 1(b)(viiA), 1(b)(viiiA), or 1(b)(xi) of the Supplemental Charter.

Investigation Committee

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Investigation Committee

Investigation Committee means the Investigation Committee appointed under the Schedule to these bye-laws.

J

JDS

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JDS

JDS means the Scheme established with other accountancy bodies pursuant to sub-clause 1(b)(viiiA) of the Supplemental Charter (power to establish a disciplinary scheme).

K

L

M

member

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member

member means a member of the Institute, and membership shall be construed accordingly.

member firm

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member firm

member firm means

a member engaged in public practice as a sole practitioner; or

a partnership engaged in public practice of which more than 50 per cent of the rights to vote on all, or substantially all, matters of substance at meetings of the partnership are held by members; or

a limited liability partnership engaged in public practice of which more than 50 per cent of the rights to vote on all, or substantially all, matters of substance at meetings of the partnership are held by members; or

any body corporate (other than a limited liability partnership) engaged in public practice of which:

50 per cent or more of the directors are members; and

more than 50 per cent of the nominal value of the voting shares is held by members; and

more than 50 per cent of the aggregate in nominal value of the voting and non-voting shares is held by members.

N

notice

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notice

notice means notice in writing.

O

order

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order

order includes a finding.

P

panel

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panel

panel (except in bye-law 26) means a panel appointed under bye-law 27(1) to hear an appeal.

practice and public practice

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practice and public practice

practice and public practice mean practice as a public accountant in any part of the world otherwise than as an employee, subject however to any regulations made pursuant to bye-law 51(b) of the Principal Bye-laws and to any other guidance issued by the Council;practising certificate" means a certificate issued to a member authorising him to engage in public practice.

prima facie case

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prima facie case

prima facie case mans a prima facie case for disciplinary action under these bye-law.

principal

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principal

principal means a sole practitioner, a partner in a partnership or a director of a body corporate.

Principal Bye-laws

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Principal Bye-laws

Principal Bye-laws means the Principal Bye-laws of the Institute.

provisional member

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provisional member

provisional member means a person

who is serving under a training cotract; or

who has trained under such contract and is eligible either to sit for the professional examinations of the Institute or, having successfully sat those examinations, to apply for membership,

and for the purposes only of this definition an order under bye-law 22(7)(d) shall be disregarded.

Q

R

registered address

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registered address

registered address means

in the case of a member in practice or a firm, the place of business registered by the member or firm with the Institute or, if more than one place of business is so registered, the one registered as the principal place of business;

in the case of a member not in practice or a provisional member, the address registered by him with the Institute;

in the case of a former member, former member firm, former regulated firm or former firm the latest address registered with or notified to the Institute by the person or body in question.

registered auditor means a firm registered as a registered auditor at the instance of the Institute (in its capacity as a recognised supervisory body under the Companies Act 1989 or in any comparable capacity under any legislation, wherever in force, for the time being designated in regulations)

regulated firm

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regulated firm

regulated firm means an authorised firm or a registered auditor.

regulations

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regulations

regulations means regulations made by the Council or any committee or sub-committee under clause 16 of the Supplemental Charter (power to make regulations) and for the time being in force.

relevant authority

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relevant authority

relevant authority means a body which authorises the Institute to act as a regulator or to exercise any regulatory or disciplinary function.

representative

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representative

representative, in relation to the defendant in any proceedings under these bye-laws, means

a barrister, solicitor or member appointed by him to represent him in those proceedings; or

any person permitted under regulations to represent him in those proceedings,

and represented shall be construed accordingly.

reviewer of complaints

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reviewer of complaints

A person appointed as a reviewer of complaints under paragraph 5 of the Schedule to these bye-laws.

S

T

training contract

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training contract

training contract means a contract of approved training registered with the Institute and in such form and containing such provisions as may be prescribed in regulations, made between a candidate for membership and the person or firm at or from whose office the approved training is to be given.

tribunal

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tribunal

tribunal means a tribunal appointed under bye-law 19(1) to hear a formal complaint.

U

United Kingdom

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United Kingdom

United Kingdom includes the Channel Islands and the Isle of Man.

V-Z

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