Regulation/Professional Conduct and Discipline/Determinations
The determinations of the cases heard under the disciplinary scheme are reported below in accordance with the guidance issued by the disciplinary board. Here you will find reports of Adjudication Panels, Interim Order Panels, Disciplinary Tribunals and Appeal Tribunals.
Disciplinary Tribunal Cases
2011 Cases
Mr. Alastair Graham McLean*, Institute and Faculty of Actuaries Disciplinary Tribunal Panel, 1 November 2011
*this determination is subject to an appeal
Mr. Nureshkumar Prayag, Institute and Faculty of Actuaries Disciplinary Tribunal Panel, 30 September 2011
Mr. Masood Akbar, Institute and Faculty of Actuaries Disciplinary Tribunal Panel, 30 September 2011
Mr. Dennis Hale, Institute and Faculty of Actuaries Disciplinary Tribunal Panel, 29 September 2011
Mr. Martin Donald Binns, Institute and Faculty of Actuaries Disciplinary Tribunal Panel, 13 September 2011
Mr. Michael John Perney Hall, Institute and Faculty of Actuaries Disciplinary Tribunal Panel, 2 September 2011
Mr. Prabhat Kumar, Institute and Faculty of Actuaries Disciplinary Tribunal Panel, 3 August 2011
Mr. Randhir Kumar, Institute and Faculty of Actuaries Disciplinary Tribunal Panel, 3 August 2011
Mr Johan Grundlingh, Institute and Faculty of Actuaries Disciplinary Tribunal Panel, 17 February 2011
2010 Cases
Mr Saul Chanan Goodman, Institute and Faculty of Actuaries Disciplinary Tribunal, 30 September 2010
Mr Craig Gordon Hopewell, Institute of Actuaries Disciplinary Tribunal, 29 April 2010
Mr Ian William Hamilton Pope, Faculty of Actuaries Disciplinary Tribunal, 13/14 April 2010
Adjudication Panel Cases
2011 Cases
Mr. Corneth Aiyefemi Bart-Williams, Institute and Faculty of Actuaries Adjudication Panel, 11 October 2011
Mr. Josias Cloete Vermeulen, Institute and Faculty of Actuaries Adjudication Panel, 11 October 2011
Mrs. Sarah Louise Brooks, Institute and Faculty of Actuaries Adjudication Panel, 11 October 2011
Mr. John Francis Casey, Institute and Faculty of Actuaries Adjudication Panel, 11 October 2011
Mr. Richard Michael McEvoy, Institute and Faculty of Actuaries Adjudication Panel, 11 October 2011
Mr. Simon Keith Feely, Institute and Faculty of Actuaries Adjudication Panel, 11 October 2011
Mr. Gregory L. Lugisani, Institute and Faculty of Actuaries Adjudication Panel, 6 July 2011
Mr. Nnamdi Babatunde Odozi, Institute and Faculty of Actuaries Adjudication Panel, 6 July 2011
Mr. Jamie Martin Willis, Institute and Faculty of Actuaries Adjudication Panel, 29 June 2011
Mrs. Louise Emma Bennett, Institute and Faculty of Actuaries Adjudication Panel, 29 June 2011
Mr Alan Robert Goodman, Institute and Faculty of Actuaries Adjudication Panel, 5 May 2011
Mr David Thomas Newman, Institute and Faculty of Actuaries Adjudication Panel, 23 March 2011
Mr Mark James Phillip Julian, Institute and Faculty of Actuaries Adjudication Panel, 23 March 2011
Mr Willem Johannes Landman, Institute and Faculty of Actuaries Adjudication Panel, 23 March 2011
Mr David William Dullaway, Institute and Faculty of Actuaries Adjudication Panel, 23 March 2011
Mr Martin David Moule, Institute and Faculty of Actuaries Adjudication Panel, 23 March 2011
Mr Jiang Nan, Institute and Faculty of Actuaries Adjudication Panel, 23 March 2011
Mr Daniel Paul Mikulskis, Institute and Faculty of Actuaries Adjudication Panel, 25 January 2011
Mr George Michelakis, Institute and Faculty of Actuaries Adjudication Panel, 25 January 2011
Mr Ian William Conlon, Institute and Faculty of Actuaries Adjudication Panel, 25 January 2011
2010 Cases
Mr Wenjian Yin, Institute and Faculty of Actuaries Adjudication Panel, 30 November 2010
Mr Wesley Paul Hughes, Institute and Faculty of Actuaries Adjudication Panel, 30 November 2010
Mr Joe Brennan, Institute and Faculty of Actuaries Adjudication Panel, 26 November 2010
Mr Poh Huat Khoo, Institute and Faculty of Actuaries Adjudication Panel, 21 September 2010
Mr Noel Duncan Blackwood Richardson, Institute and Faculty of Actuaries Adjudication Panel, 21 September 2010
Mr Norman William Head, Institute and Faculty of Actuaries Adjudication Panel, 19 August 2010
Mr Nigel Hugh Bradshaw, Institute and Faculty of Actuaries Adjudication Panel, 19 August 2010
Mr Adriaan Christopher Ryder, Institute and Faculty of Actuaries Adjudication Panel, 19 August 2010
Mr Dmitri Gott, Institute and Faculty of Actuaries Adjudication Panel, 19 August 2010
Mr Jakub Borowicz, Institute of Actuaries Adjudication Panel, 20 July 2010
Mr John Austin Edgeworth, Institute of Actuaries Adjudication Panel, 26 February 2010
Mr John Patrick Quinlivan, Institute of Actuaries Adjudication Panel, 26 February 2010
Earlier Cases
These have been removed after 2 years in accordance with the Disciplinary Board's guidelines on the publication of determinations.
2007 Cases
Roy Henry Ranson, Christopher Paul Headdon, and Alan Nash, Institute of Actuaries Disciplinary Tribunal, 30 January 2007
Summary of the determination in the above case
If you have any queries about professional disciplinary decisions of the Institute and Faculty of Actuaries please contact Mark Walters, Judicial Committees Secretary, e-mail: mark.walters@actuaries.org.uk, tel: 020 7632 2189.
Adjudication Panels
This Panel's role is to consider in private a case report about the investigation of a complaint against an actuary who is a Member of the Institute and Faculty. The Panel determines, under rule 4.4 of the disciplinary scheme, whether:
(a) a Case Report, or one or more matters within it, discloses a prima facie case of Misconduct and, if so, that:
(i) the Respondent shall be invited to accept that there has been Misconduct and, where the Adjudication Panel considers it appropriate, invited to accept a sanction in accordance with the procedure in rules 4.6 to 4.10; or
(ii) the matters referred to in the Case Report should be referred to a Disciplinary Tribunal Panel;
or
(b) a Case Report discloses no prima facie case of Misconduct and that no disciplinary action shall be taken against the Respondent.
The sanctions that an Adjudication Panel may offer are:
a period of education, retraining or supervised practice;
- a reprimand and/or
- a fine to the maximum specified by the Disciplinary Board, which is £7,500.
Misconduct is defined in rule 1.6 of the disciplinary scheme.
Publication of the Adjudication Panel determinations is in accordance with the Disciplinary Board's guidelines on publication of decisions and determinations under the disciplinary scheme.
If you have any queries about professional disciplinary decisions of the Institute and Faculty of Actuaries, please contact Mark Walters, Judicial Committees Secretary, e-mail: mark.walters@actuaries.org.uk, tel: 020 7632 2189.
Interim Orders Panels
This Panel's role is to consider applications from the Investigation Actuary for interim suspension, for up to six months, of either the practising certificate or the Membership of an actuary who is a Member of the Institute and Faculty. The suspension is subject to appeal to the Appeals Tribunal and may be renewed. It is an interim measure pending completion of proceedings under the disciplinary scheme in relation to a complaint of Misconduct against the actuary.
Before making an Interim Order the Panel must be satisfied that an Order is warranted by the seriousness of the alleged misconduct and that there is sufficient prima facie evidence before the Panel to support the allegations.
Misconduct is defined in rule 1.6 of the disciplinary scheme
Publication of the Interim Orders Panel determinations is in accordance with the Disciplinary Board's guidelines on publication of decisions and determinations under the disciplinary scheme.
If you have any queries about professional disciplinary decisions of the Institute and Faculty of Actuaries, please contact Mark Walters, Judicial Committees Secretary, e-mail: mark.walters@actuaries.org.uk, tel: 020 7632 2189.
Disciplinary Tribunal Panels
This Panel's role, meeting in public, is to hear a charge, or charges, of Misconduct brought against an actuary who is a Member of the Institute and Faculty.
The Panel determines, under rule 6.21 of the disciplinary scheme whether a charge of Misconduct has been established. If not, the charge is dismissed.
If the Panel determines that the actuary has been guilty of Misconduct, the Panel may determine, under rule 6.23, that no sanction is appropriate or may impose one or more of the sanctions listed below, and may make an award of costs against the actuary or the Institute and Faculty, as the Panel considers appropriate.
The sanctions that a Disciplinary Tribunal Panel may impose are:
- a reprimand; a fine;
- suspension or withdrawal of any Certificate held;
- exclusion from holding a Certificate
- suspension of Membership of the Faculty or Institute for any period up to a maximum of two years;
- expulsion or exclusion from Membership of the Faculty or Institute for any period up to five years;
- a period of education, retraining or supervised practice;
Misconduct is defined in rule 1.6 of the disciplinary scheme.
Publication of the Disciplinary Tribunal Panel determinations is in accordance with the Disciplinary Board's guidelines on publication of decisions and determinations under the disciplinary scheme.
If you have any queries about professional disciplinary decisions of the Institute and Faculty of Actuaries, please contact Mark Walters, Judicial Committees Secretary, e-mail: mark.walters@actuaries.org.uk, tel: 020 7632 2189.
Appeal Tribunals
This Panel's role is to hear appeals, made under rule 8 of the disciplinary scheme. The only person who is eligible to appeal is the respondent. The respondent may appeal against:
(a) a determination of a Disciplinary Tribunal Panel under Part 6 of the Scheme;
(b) an Interim Order; and/or
(c) a refusal of readmission to membership following disciplinary expulsion or exclusion.
Appeals against Disciplinary Tribunal determinations: these must be made to the Chairman of the Appeals Tribunal within 28 days of receipt of the determination. The appeal hearing is in private but at the absolute discretion of the Chairman the appeal may be conducted via an oral hearing if there is good reason to do so. The Appeal Tribunal Panel may affirm, vary or rescind any determination of the Disciplinary Tribunal Panel, or may substitute any other determination that the Disciplinary Tribunal Panel may have made, and may make an award of costs against the actuary or the Faculty or Institute, as it considers appropriate
Appeals against Interim Orders: these must be made to the Chairman of the Appeals Tribunal within 14 days. The appeal hearing is in private and is usually conducted from the papers, at the discretion of the Chairman the Panel may permit an oral hearing, which is also held in private. The Appeal Tribunal Panel may affirm, vary or rescind any determination of the Interim Orders Panel, or may substitute any other determination that the Interim Orders Panel may have made.
The Appeal Tribunals determination is final. There is no further recourse under the disciplinary scheme. Publication of the Appeal Tribunal Panel determinations is in accordance with the Disciplinary Board's guidelines on publication of decisions and determinations under the disciplinary scheme.
If you have any queries about professional disciplinary decisions of the Institute and Faculty of Actuaries, please contact Mark Walters, Judicial Committees Secretary, e-mail: mark.walters@actuaries.org.uk, tel: 020 7632 2189.