Rules and Regulations Pre February 2020

For your information, please see below the relevant rules and regulations relating to disciplinary cases initiated before 1 February 2020:

• CII Disciplinary regulations 2013 (PDF)
• CII Disciplinary procedure rules 2015 (PDF)
• CII Indicative sanctions guidance (PDF)

Once the complaint is received by the Legal Team, it is allocated to a Case Investigator.

The Case Investigator reviews the complaint and sends a Letter of Investigation to the Respondent. The deadline for the Respondent to respond to this letter is 15 working days from the date of the letter.
Once the Case Investigator is satisfied that there is a case to answer (whether the Respondent is co-operative or note) the Case Investigator sends a formal allegation to the Respondent for comment. The deadline for the Respondent to respond to the allegation is 15 working days.

After the deadline has passed, the Case Investigator drafts an Investigation Report and submits the case to a Case Examiner.

The Case Examiner reviews the work of the Case Investigator and decides whether there is a case to answer. Where there is no case to answer, the Respondent is informed of this and the matter closed. However, should the Case Examiner feel as if there is a case to answer, they will invite the Respondent to

• Sign a Consensual Order. This highlights the allegation and asks the Respondent to agree to the applicable sanctions as decided by the Case Examiner. Respondents have 14 days to either sign and return the Consensual Order or state that they will not sign.
• Should the Respondent not sign the Consensual Order, the Case Examiner may decide to impose sanctions on the Respondent by way of Determination. Should the Respondent wish to appeal this Determination, they have 15 working days to notify the CII of their appeal and wish to defer the case to a disciplinary hearing.