Rules and Regulations

The Board is responsible for developing and issuing Standards of Professional Conduct with which members of the Institute must comply, this includes rules setting out the system of licensing for members and member firms and for supervision of members and member firms though a proactive system of monitoring and a robust complaints handling and disciplinary system.

The Standards include regulations on the professional conduct and behaviour of members, the procedures of supervising member compliance with the regulations and the procedures for investigating complaints relating to misconduct and the taking of disciplinary action.

The Standards of Professional Conduct at present include:

• Audit Regulations & Guidance
• Clients Money Regulations & Guidance
• Continuing Professional Development Regulations
• Designated Professional Body Regulations & Guidance (UK)
• General Affiliate Regulations
• Insolvency Licensing Regulations & Guidance (GB/NI)
• Investment Business Regulations & Guidance (ROI)
• Practising Certificate Regulations & Guidance
• Professional Indemnity Insurance Regulations & Guidance
• Quality Review Regulations & Guidance
• Rules of Professional Conduct

Code of Ethics

Disciplinary Bye-Laws

Professional Update

Members are obliged to keep themselves up to date on the current provisions of the Regulations. The Board will keep them informed through the CARB Regulatory Bulletin.