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Complaints procedure





We have a thorough and impartial complaint process. Alleged breaches of our Code of Conduct are investigated by our Professional Conduct Committee.

Our Code of Conduct deals with members’ professional and ethical behaviour. Members found to have breached the Code are sanctioned according to the severity of the breach.

 

Please note:

We are not a trade association and firms and companies are not members. We are unable to act as a mediation or arbitration body between members and their clients. In addition, it is not within our remit to decide whether a member has been negligent.

 

How we can help:

For advice on the obligations and expectations of our members contact us

 

The complaints procedure:

To make a complaint contact us to request a complaint form.

You will need to provide details of the member concerned and details including the article(s) of the Code of Conduct you think have been breached.

Complaints must be submitted using a complaint form and in the required format. The Disciplinary Manager may re-format your complaint in accordance with the requirements.

Your complaint is then provided to the member concerned for a response. You will receive a copy of that response.

The case is then referred to our Professional Conduct Committee (PCC); the PCC meets five times a year to consider complaints against members and will normally postpone consideration of a complaint until the completion of any ongoing legal proceedings relevant to a complaint.

The procedure for dealing with complaints against members and the penalties that the Institution may impose on members are set out in our Regulations and disciplinary procedural rules.

 

Possible courses of action:

Where the PCC upholds a complaint but considers that the misconduct is not serious enough to refer to the Disciplinary Board, it can:

  • Give Guidance to the member
  • Issue a Training Order to the member
  • Direct the member to issue an apology
  • Issue a warning to the member
  • Issue a reprimand to the member

If the misconduct is more serious, the PCC will refer the complaint to our Disciplinary Board, which has the power to:

  • Issue a severe reprimand
  • Suspend the member (for a period up to five years) 
  • Permanently Expel the member from the Institution

 

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