This section contains links to the Disciplinary Scheme, Regulations and Guidance notes. There are also flowcharts and informal information notes about the process which answer some of the most frequently asked questions.
In August 2023 the IFoA introduced a revised Disciplinary Scheme and supporting Regulations. The Disciplinary Scheme sets out who makes decisions and what powers are available to them. The Regulations contain the more detailed processes and procedures.
“The revised Disciplinary Scheme will introduce a more flexible and efficient disciplinary process. Core aspects of the existing disciplinary framework have been maintained, but the new framework should be simpler and easier for all to understand. Most importantly, the new Scheme will continue to assist the IFoA in meeting their regulatory objectives by maintaining high standards and confidence in members.”
Neil Buckley, Chair of the Regulatory Board.
The Disciplinary Committee has also published Guidance notes to support the Disciplinary Scheme. These Guidance notes apply to cases being considered under the Disciplinary Scheme (effective from 1 August 2023). The Guidance notes provide Panels, parties, and IFoA staff with further detail on the procedures that should be followed.
For complaints received before 1 August 2023, previous versions of the Disciplinary Schemes and Guidance notes will apply and can be found on our website. Respondents can opt for their case to be transferred to the Disciplinary Scheme (effective from 1 August 2023).
Flowcharts and information notes are also included below to assist IFoA members and the public with understanding the IFoA’s disciplinary processes.
The Disciplinary Committee has published Regulations to support the Disciplinary Scheme. The version of the Regulations in force at the time a Complaint is received will apply to that Complaint, however a Respondent can opt for latest version of the Regulations to apply to their case.
The latest versions of the Regulations are set out below. Previous versions of the Regulations can be found at the bottom of this webpage.
You can also download all of the current Regulations in one combined PDF.
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Title |
Version |
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General Disciplinary Regulations |
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Financial Reporting Council Regulations |
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Interim Order Regulations |
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Disciplinary Order Regulations |
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Case Report and Adjudication Panel Regulations |
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Independent Reviewer Regulations |
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Disciplinary Tribunal Panel Regulations |
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Capacity for Membership Regulations |
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Readmission Regulations |
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Appeals Regulations |
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Appointments Regulations |
If you have any questions about the disciplinary process, please email