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Complaint, 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, Appeal Committee and Fitness Committee Regulations

Amendments to the regulations governing the operation of the Investigation, Disciplinary, Appeal and Fitness Committees came into effect on 1 June 2018. These technical changes have been made to update the regulations and to clarify and streamline the disciplinary and fitness processes. The schedule of changes outlines the updates to each set of regulations.

Fitness Committee Regulations

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

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