An Adjudication Panel is the first stage of a disciplinary hearing

An Adjudication Panel is usually made up of three members drawn from the Institute and Faculty of Actuaries' (IFoA's) Disciplinary Pool, one of whom will always be a lay person. The Panel is also assisted by a legal advisor.

What does an Adjudication Panel do?

When a complaint is received a Case Report is prepared by the Disciplinary Investigation Team. The Panel then meets in private to consider the evidence and determines whether there is a case to answer.

The Panel has the power to either dismiss the case or find that there is a case to answer.

Where the Panel finds that there is a case to answer, it may invite the member (the Respondent) to accept that there has been misconduct and any sanctions that it feels are appropriate. Read Indicative Sanctions Guidance Note for more information about sanctions.

When will a case be referred to a Disciplinary Tribunal?

If:

  • the case is serious,
  • there are conflicts within the evidence, or
  • the sanctions available to the Panel are insufficient,

the Panel may refer the case to a Disciplinary Tribunal.

Publication of Determinations

Where misconduct (and the resulting sanctions) has been accepted by the Respondent, the Determination will usually be published on this website for five years and published in the Actuary magazine.

If the Respondent does not accept the findings, the case will be referred to a Disciplinary Tribunal. Notice of future tribunals are published on Forthcoming hearings.

How to appeal the Panel’s decision

If the person who made the complaint is unhappy with a decision to dismiss the case, they may request a review by an Independent Examiner. Read Note for Complainants on Referral to the Independent Examiner for more information about requesting a review by an Independent Examiner.

The Independent Examiner will either affirm the Panel’s decision or refer it back to an Adjudication Panel for reconsideration.

 

Contact Details

If you have any questions, please contact

clerk@actuaries.org.uk

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Events calendar

  • Sub-Saharan Africa Town Hall

    26 February 2021

    Spaces available

    IFoA Immediate Past President John Taylor would like to invite you to the Institute and Faculty of Actuaries’ (IFoA) virtual SSA Town Hall 2021, hosted by John Taylor with IFoA Council Members Mukami Njeru, Prosper Matiashe and IFoA Chief Executive, Stephen Mann.

  • MENAP Town Hall

    2 March 2021

    Spaces available

    IFoA Immediate Past President John Taylor would like to invite you to the Institute and Faculty of Actuaries’ (IFoA) virtual Middle East, North Africa and Pakistan (MENAP) Town Hall 2021, hosted by John Taylor and IFoA Chief Executive, Stephen Mann. 

  • Spaces available

    COVID-19 has seen a marked increase in mental health issues. We all have mental health and poor mental health has serious consequences for individuals and our workplaces, with it costing UK businesses £33-42 billion annually.

  • The price is righter

    16 March 2021

    Spaces available

    This webinar provides an overview of the state of the UK protection market, and how different insurers are using different levels of sophistication to price (such as using customer demand models). It considers how insurers have implemented these sophisticated pricing techniques, and the practical challenges they have faced.

  • Spaces available

    This discussion will revolve around the latest industry developments including and introduction to Part VII transfers and Schemes of Arrangement (process, parties involved and recent events), insights and lessons from recent with-profits transactions and restructurings (including Equitable Life and Pru-Rothesay), how firms can apply these learnings to future arrangements, and the outlook for future with-profits transactions and restructurings (including the impacts of Covid-19 and Brexit)

     

  • Spaces available

    What is stewardship and how has the landscape changed under the 2020 UK Stewardship Code? How does effective stewardship create long term value for beneficiaries and what roles do asset owners and asset managers play in active stewardship. This webinar will offer answers to these questions in a practical approach to stewardship reporting.