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Complaints, disciplinary and fitness processes and regulations

This section sets out the processes and regulations for the investigation of complaints, disciplinary action and appeals. It also sets out the duties of members and firms to report and investigate misconduct, and the process that applies in fitness cases.

Changes to the Investigation Committee, Disciplinary Committee and Appeal Committee Regulations

Amendments to the regulations governing the operation of the Investigation, Disciplinary and Appeal Committees came into effect on 15 October 2018.These technical changes have been made principally as a consequence of changes to the Disciplinary Bye-Laws on the same date.

Investigation Committee Regulations

Updated 15 October 2018 – These set out the procedural rules for the Investigation Committee in considering complaints. Access the schedule of the most recent amendments to the Investigation Committee Regulations.

Disciplinary Committee Regulations

Updated 15 October 2018 – These set out the procedural rules for hearings of formal complaints by tribunals of the Disciplinary Committee. Access the schedule of the most recent amendments to the Disciplinary Committee Regulations.

Appeal Committee Regulations

Updated 15 October 2018 – These set out the procedural rules for appeal hearings in relation to formal complaints by panels of the Appeal Committee. Access the schedule of the most recent amendments to the Appeal Committee Regulations.

Fitness Committee Regulations

Updated 1 June 2018 – These set out the procedural rules for determining whether a respondent’s fitness to participate in disciplinary proceedings and / or professional competence is seriously impaired by his / her physical or mental health.

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