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Disciplinary and Capacity for Membership Schemes

Our disciplinary and capacity for membership processes are set out within our Disciplinary and Capacity for Membership Schemes

Find out more about our Disciplinary and Capacity for Membership Schemes

We have produced a range of notes for members who are facing a complaint, covering all aspects of the disciplinary process. This should help understand what is involved.

If you are interested in making a complaint about a member, please refer to our how to make a complaint webpage where you will find helpful information about the process.

Capacity for Membership process

This provides an alternative route to deal with issues that arise in rare cases where a Member‘s current capacity to hold membership is impaired and such impairment is directly relevant to the allegation or charge brought against them. The process is outlined in an information note.

What is defined as misconduct by the Disciplinary Scheme?

The Scheme defines misconduct as:

any conduct by a Member, whether committed in the United Kingdom or elsewhere, in the course of carrying out professional duties or otherwise, constituting failure by that Member to comply with the standards of behaviour, integrity, competence or professional judgement which other Members or the public might reasonably expect of a Member having regard to the Bye-laws of the Institute and Faculty of Actuaries and/or to any code, standards, advice, guidance, memorandum or statement on professional conduct, practice or duties which may be given and published by the Institute and Faculty of Actuaries and/or, for so long as there is a relevant Memorandum of Understanding in force, by the FRC (including by the former Board for Actuarial Standards) in terms thereof, and to all other relevant circumstances.

The Disciplinary Board issues guidelines to support the effective operation of the Scheme

Guidance Notes on Disciplinary Tribunals Covid-19 events 15 May 2020
Indicative Sanctions Guidance Note 30 January 2020

Regulations on the Approval of Nominations for Adjudication Panels 

1 August 2011

Regulations for Approval of Nominations to Disciplinary Tribunal Panel

1 August 2010
Guidelines for Panel Members on the Civil Standard of Proof  1 August 2010
Time Frames for Investigations and Proceedings under the Disciplinary Scheme 17 November 2017
Guidelines on the Maximum Fine at Adjudication Stage 1 April 2010
Supplementary Guidelines on the Imposition of Sanctions in CPD Infringement Cases 21 December 2016
Guidelines on the Imposition of Sanctions Involving a period of Education, Retraining, and/or Supervised Practice 30 January 2020
Publications Guidance policy 1 May 2019
Guidelines for Disciplinary Tribunal Panels and Appeal Tribunal Panels on the Award of Costs 7 May 2020
Writing Determinations Guidance policy 17 November 2017 

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Contact Details

If you have any questions about the disciplinary process, please email

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Events calendar

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