Precedents

A Summary of Cases Found Proved by the Complaints Committee and Disciplinary Committee from 1 January 2000 to date.

Cases are categorised according to the nature of the allegation against the member/firm/student/affiliate. Where there are multiple issues, the case may appear under more than one heading.

Please note that these precedents are for guidance only. Committees are not bound to follow the decision of a previous Committee. Each case is to be decided on its own facts.

The precedents will be updated regularly to reflect decisions of the Complaints Committee and Disciplinary Appeal Committees subject to expiry of the relevant appeal period. Where a member or student appeals against a decision, that decision will not be included until after the outcome of the Appeal Committee hearing.

Precedent Documents

• - 1. Acting without proper authority.pdf
• - 2. Bad work inadequate.pdf
• - 3. Breach of Complany Law [other than acting without Authority].pdf
• - 4. Change in Professional Appointment.pdf
• - 5 Other audit or IB Issues 31-Aug-11.pdf
• - 6. Criminal conviction.pdf
• - 7. Delay failure to respond external.pdf
• - 8. Failure to respond to The Institute - CARB.pdf
• 10. Fee Disputes.pdf
• 11 Judgment debt.pdf
• 12. Clients money-fraud-Dishonesty.pdf
• 13. PII.pdf
• 14. Failure to report to Regulator.pdf
• 15. Other.pdf
• 16. Conduct of a Liquidation.pdf
• 18. Restriction Disquilification as a Director.pdf
• 19. Insolvency.pdf
• 20. Loss withholding client records.pdf
• 22. Breach of Code of Ethics.pdf
• 24. Matters relating to taxation.pdf