Current Disciplinary schemes

• Faculty of Actuaries' Disciplinary Scheme (effective from 13 September 2007) [pdf]
  
• Institute of Actuaries' Disciplinary Scheme (effective from 13 September 2007) [pdf]
  

Previous Disciplinary schemes

• Faculty of Actuaries' Disciplinary Scheme (effective from 26 June 2006) [pdf]
  
• Institute of Actuaries' Disciplinary Scheme (effective from 11 April 2006) [pdf]
  

Regulations from the Disciplinary Board

• Approval of appointments and nominations to Adjudication Panels
  
• Approval of appointments and nominations to Disciplinary Tribunal Panels
  
• Approval of appointments and nominations to Interim Orders Panels
  
• Nominations in the case of illness, absence or any other reason

Guidelines on procedures from the Disciplinary Board

• Adjudication stage: maximum fine [pdf]
  
• Arrangements for the manner in which certain decisions and determinations under the disciplinary schemes shall be published [pdf]
  
• Assignment of complaints for investigation [pdf]
  
• Civil standard of proof: guidelines for Panel members on
  
• Costs awards: guidelines for panel members on [pdf]
  
• Sanctions: guidelines for panel members on the imposition of [pdf]
  
• Sanctions involving education, retraining and/or supervised practice: guidelines for panel members on the imposition of
  
• Setting and monitoring time frames for investigations and proceedings under the disciplinary schemes

Other procedure notes

• Guidelines on referral for Disciplinary Investigation by an Honorary Secretary [pdf]
  
• Guidelines on the respective roles of the Investigating Actuary and the Case Officer [pdf]
  
• Independent examiner - note for complainants about making a referral [pdf]
  
• Facing a complaint: guidelines for respondent actuaries [pdf]
  
• Putting things right. Procedure for handling feedback, including complaints, about the complaints-handling, adjudication and tribunal procedures under the disciplinary schemes
  [pdf]

Memorandum of Understanding

To support the investigative process, the Actuarial Profession has signed a Memorandum of Understanding [pdf] which facilitates the exchange of appropriate information with the Pensions Regulator.