Formal review of IfA’s disciplinary procedures

The IfA Disciplinary Regulations require a regular review by an external authority on the allegations dealt with under IfA disciplinary procedures and RO complaints procedures. Mr Ian Machray of Field Seymour Parks Solicitors carried out a review on 20 May 2013 of the files and reports of all allegations processed in 2012. The annual review is essential in determining how the processes and working and any improvements that could be made. The review in 2012 covered the period where the disciplinary procedures were changed following adoption at AGM in October 2013.

In 2012 there were some correspondences that did not lead to an allegation being made or formal communication with IfA about the matter.

Under the disciplinary regulations there was one case to review, and under the RO complaints procedures there was one. Neither of the cases progressed beyond the initial stages.

Mr Machray’s report found that the IfA “has handled the two complaints received competently and in an appropriate manner". The procedure and the outcome of each matter were clearly set out in writing to each complainant.

IfA Council has been notified of the review. The next review will take place early 2014.

So far in 2013 there have been (or they are ongoing) eight cases, four under disciplinary procedures and four under RO complaints procedures. IfA has also been updating systems to ensure procedures are followed and recorded.

Kirsten Collins
Standards Compliance Manager
kirsten.collins [at]