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Chartered Insurance Institute
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Disciplinary and appeals


The CII promotes standards and competence and has a duty to ensure that its members are qualified for the work they do and observe the principles of best practice. The CII Disciplinary and Appeals process aims to uphold the standards and reputation of the insurance industry. 

To this aim every member of the CII has to abide by the Charter and Bye-laws and Code of Ethics and commits themselves to this when they join the institute. If found to be in breach of the Charter and Bye-laws and/or Code of Ethics or any other laws or regulatons of the Institute, members can be  face disciplinary proceedings. Students who fail to comply with examination or assessment regulations may also face disciplinary action.  These proceedings are governed by the CII Disciplinary Regulations and Disciplinary Procedure Rules. 

Pdf icon small Disciplinary Regulations 2013»

Pdf icon small Disciplinary Procedure Rules 2015»

As part of their compliance with the Code of Ethics, qualified members are required to maintain their competence by completing ongoing Continuing Professional Development and face disciplinary action if they do not.

Disciplinary Regulations and Disciplinary Procedure Rules govern the procedures of the Disciplinary and Appeal Panels and CII Case Examiner.  In certain circumstances, the Case Examiner is authorised to agree the terms of a Consensual Order, including santion, with a Respondent or impose sanctions on a Respondent in lieu of a Disciplinary Hearing.  In these instances, the Respondent may decide not to agree to the terms of the Consensual Order or appeal the sanctions imposed which will result in their case being referred to Disciplinary Panel for determination.

The Regulations and Procedure Rules also set out a number of sanctions which may be applied where a Responder is found guilty of misconduct. These may include anything from a simple reprimand to exclusion from examinations and membership.

The object of the disciplinary and appeal procedures is always a positive one: to uphold the standards and reputation of the insurance industry.

More information about the disciplinary process can be found in the Guide to Complaints Against Members.

Hearings

Disciplinary and appeal hearings are held in public except in exceptional circumstances. Exceptional circumstances are determined at the discretion of the Chair of Panel hearing the case or appeal.

Hearing dates are scheduled in advance although it is possible that there will not be a hearing on all scheduled dates.

No dates are currently scheduled.

If you wish to attend a hearing, please advise the CII, Legal and Secretariat department by contacting  Maree.Hall@cii.co.uk  to make arrangements.

Where the Preliminary Screener (cases prior to May 2013), Case Examiner or Disciplinary Panel has decided to publish details of a disciplinary case ascribed (i.e. where an individual has been named), every care has been taken to identify members/students correctly. Please contact the CII if there is any doubt about the identity of a member/student who may have been the subject of disciplinary proceedings and in relation to whom a report has been published.

CII wishes to make clear that, unless the case reported indicates otherwise, allegations and findings against members/students do not implicate those members' or students' employers in any way.