Disciplinary Framework

Disciplinary Committees

AIA members are required and expected to act in line with the requirements set out in the AIA Constitution (incorporating the Code of Ethics).

Members who act outside of these requirements - or bring the AIA into disrepute - are liable for disciplinary action under the rules and regulations of the Association.

AIA’s Disciplinary Process is made up of a system of Committees which receive and investigate complaints and referrals, take disciplinary action, and issue sanctions where appropriate. This process operates as an independent complaints, monitoring and disciplinary function acting in the public interest.

Individuals cannot be a member of more than one of the Investigations Committee, the Disciplinary Committee, the Appeals Committee, the Practice Compliance Committee and the Practice Compliance Appeals Committee.

Practice Compliance Committee

The Practice Compliance Committee deals with all matters concerning:

the monitoring of the compliance by Members and Firms in their public practice with the Association’s Articles, Bye-Laws, Regulations and Code of Ethics, relevant accounting and auditing standards and relevant regulatory and legal requirements;
provision of returns, statements and information necessary for monitoring the Members’ public accounting and reporting work; and
the monitoring of members in industry, commerce, public service or employed in public practice.

The Committee can require remedial action to be taken by a Member, or a Firm in the case of non-compliance with a Regulatory Requirement.

Where there is failure to meet a Regulatory Requirement the Committee in addition to requiring remedial action to be taken within a specified period can:

impose a penalty by way of a fine;
revoke or suspend a Practising Certificate pending the outcome of disciplinary proceedings;
impose a condition or restriction relating to a Practising Certificate, and/or refer the failure to the Disciplinary Committee for further action.

Upcoming Practice Compliance Committee

Terms of Reference

Practice Compliance Appeals Committee

The Practice Compliance Appeals Committee hears all appeals resulting from decisions taken by the Applications and Membership Committee and the Practice Compliance Committee relating to:

the granting and holding of a Practising Certificate;
the monitoring of Members and Firms concerning compliance with the Bye-Laws, Articles, Regulations and Code of Ethics;
the provision of returns, statements and information relating to monitoring.

The Committee is empowered to:

uphold decisions taken by the appropriate Committee; or
refer a decision back to the appropriate Committee with a recommendation for consideration

Terms of Reference

Investigations Committee

The Investigations Committee has the power to:

investigate all relevant Complaints referred to it;
refer to the Disciplinary Committee its findings and recommendations for disciplinary action against any Member, Elected Member, Firm or Student; and
settle minor Complaints by mediation or other dispute resolution process.

Upcoming Investigations Committee - TBC

Terms of Reference

Disciplinary Committee

The Disciplinary Committee has the power to:

conduct disciplinary proceedings including hearings in respect of matters referred to it by the Investigations Committee or other relevant committees of the Council;
make findings in relation to disciplinary actions conducted against Members, Elected Members, Firms and Students; and
prescribe orders dealing with disciplinary offences.

Upcoming Disciplinary Committee - 15 October 2024

Terms of Reference

Appeals Committee

The Appeals Committee has the power to:

determine the appeals against the findings and Orders (including the sanction comprised in the Order) of the Disciplinary Committee; and
make Orders following the hearing of such appeals.

Upcoming Appeals Committee - TBC

Terms of Reference