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Adjudication Panels

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.

 

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Contact Details

If you have any questions, please contact

clerk@actuaries.org.uk

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