CIMA Disciplinary & Investigations

CIMA Investigation Committee

Having received a response from the member (or the deadline for providing a response expires), the matter will be referred to an Investigation Committee.

The Investigation Committee sits independently of CIMA and will consider the complaint during a private meeting and will consider the written papers (which will include any written response from or on behalf of the member). They will then decide whether there is a prima facie case for the member to answer. If not, then the complaint will be dismissed. Given the referral to an Investigation Committee, it is essential that the response made by the member to the summary of complaint is as persuasive as possible. There is a real possibility of bringing proceedings to a close at this stage; a failure to properly respond can lead to the matter being taken further.

If the Investigation Committee does find that there is a prima facie case, then they can take one of the following disciplinary actions:

- Take no further action;

- Offer the member a disposal by way of a consent order

- Refer the complaint to CIMA’s Disciplinary Committee.

CIMA Disciplinary Committee

The CIMA Disciplinary Committee will consider cases referred by the Investigation Committee. If your case is referred, a formal charge will be formulated in light of the Investigation Committee’s findings. A hearing will be listed, and a member has the right to attend the hearing and present their case in person or through a legal representative. Having heard from both parties, the Disciplinary Committee will consider whether the case is proven against the member. If it is not, the charge will be dismissed. 

If the Disciplinary Committee determines that the case is proven against the member (or the member has already admitted the charge), the Committee will consider what sanction (if any) to impose upon the member. The member (or their legal representative) will be able to make representations on the level of sanction to be imposed.

The penalty imposed can include the following:

- An admonishment, or

- A reprimand, or

- Severe reprimand

- And/or a fine

- The cancellation of a member's registration or the withdrawal of a Practising certificate, or

- Suspension of membership, or

- That the member be expelled from the Institute, or

- That the member be subject to conditions.

The committee can also require the member to pay all or part of the costs of the proceedings against them.

Decisions made by the Disciplinary Committee can be appealed to the Appeal Committee if the appeal is made within 28 days of receipt of the Notice of the decision of the Disciplinary Committee.

Publicity

It is generally the position that any sanction will be published and that any proceedings before the Disciplinary Committee will take place in public. However, in exceptional cases, it is possible for decisions to be anonymised and/or proceedings to take place in private session (whether in full or in part). Our expert team have experience of making successful applications of this nature and can advise you on how best to make an application.

What we do

Our solicitors can advise you and support you at every stage of the CIMA disciplinary process. Our services include:

- Advice and guidance throughout the whole process;

- Preparing responses on your behalf for consideration by the Investigation Committee.

- Advising you on any consent order offered by the Investigation Committee.

- Preparing for and representing you before a Disciplinary Committee – this will include robust defence in relation to any charge that is denied, with a view to giving you the best opportunity of defending the allegation entirely. Alternatively, if you have made admissions of misconduct, this can be in relation to making detailed submissions on your behalf at a hearing with a view to persuading a Disciplinary Committee to impose the lowest sanction possible.

- Advising you about what documents to obtain and prepare to best prepare you case. We will also assist you in the preparation of documents in your case, where relevant.)

- Where necessary, we can provide you with advice and representation in an appeal of a decision of the Disciplinary Committee.

- Where relevant, we can advise you in relation to applications for hearings to be held in private (either partially or fully) and/or advise on applications for the anonymisation of consent orders and/or decisions of the Disciplinary Committee.