The professional conduct process

Professional conduct allegations against individual CIfA members or Registered Organisations

Once an allegation has been received and accepted the professional conduct process is carried out in accordance with the Regulations for professional conduct (PDF file) in the case of an allegation against a member

The stages for the assessment of allegations are:

  • Stage 1: Procedure for making an allegation regarding professional conduct
  • Stage 2: Procedure for receipt of an allegation
  • Stage 3: Procedure for assessment of an allegation
  • Stage 4: Procedure for investigation of an allegation
  • Stage 5: Procedure for considering appeals
  • Stage 6: Reporting and review

CIfA's professional conduct procedure is operated by peer review. The Institute will appoint relevant individuals to investigate any allegation as set out in the professional conduct process. In all cases the individuals must ensure that they do not have a potentially prejudicial interest in the matter they are appointed to consider.

Timescales
Formal allegations can take time to resolve. When a completed form is received there are several stages to the process as set out above. All the stages rely on individuals volunteering their time to be involved (peer review) and the individual or organisation against who the allegation is made has the right to reply to the allegation and appeal a decision.