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Amendments to the Disciplinary Bye-Laws and Principal Bye-Laws of the Institute

The amendments to the Disciplinary Bye-Laws and Principal Bye-Laws of the Institute, approved at the Institute SGM held on 13 May 2011, have now received the necessary approvals from the Irish Auditing & Accounting Supervisory Authority (IAASA) and the Department of Trade & Investment (Northern Ireland). 

In brief summary, the purpose of the substantive amendments to the Disciplinary Bye-Laws is to: 

  • clarify that neither the Disciplinary Panel nor the Appeal Panel have any of the powers or functions of a committee;
  • expressly permit the Board, the disciplinary bodies, the Head of Professional Conduct and any of their lawful delegates to take any lawful actions considered necessary to achieve the objectives of the Bye-Laws;
  • permit a chairperson or vice-chairperson of any disciplinary body to serve a third term on that body;
  • expressly permit the Head of Professional Conduct to apply to the Complaints Committee for advice during the course of a preliminary investigation;
  • require the Head of Professional Conduct to inform a complainant of his or her right to refer a complaint to CARB if that complainant is not satisfied with the outcome of the firm’s complaints process;
  • remove the power for the Head of Professional Conduct to appoint a mediator;
  • require the Head of Professional Conduct to give reasons for his or her decision if that decision is that no prima facie case exists following a preliminary investigation; and
  • clarify the actions which may be taken by the Complaints Committee if proceedings are withdrawn from a Disciplinary Tribunal.

These amendments will become effective on 1 December 2011. Members should also take note that Bye-Law 5.5 which was approved at the SGM of September 2009 will also become effective on 1 December 2011.

To view:

  • the explanatory note in relation to the amendments which was provided to members in advance of the SGM click here.
  • the amended Disciplinary Bye-Laws click here.
  • the amended Principal Bye-Laws click here.