Disciplinary and appeals
We promote standards and competence and our disciplinary and appeals process aims to uphold the standards and reputation of the insurance and financial planning profession.
Every member of the CII has to abide by the Charter and Bye-laws (PDF) and Code of Ethics. If found to be in breach of these or any other applicable CII laws or regulations, members can face disciplinary action. This can also apply to students who fail to comply with examination or assessment regulations.
Disciplinary proceedings are governed by:
- CII Disciplinary regulations (PDF)
- CII Disciplinary procedure rules (PDF)
- CII Indicative sanctions guidance (PDF)
As part of 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.
The regulations and procedure rules also set out 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.
Disciplinary and appeals decisions
Where a member (or an examination candidate) is disciplined a notice is posted on one of the following pages:
- CPD decisions
- Breaches of examination and/or assessment regulations
- Breaches of the CII Code of Ethics
- Breaches of CII copyright
- FCA/FSA final notice
- Failure to comply with requirements
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's Legal department by contacting email@example.com.
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.