D I S C I P L I N A RY M AT T E R S
with another candidate when completing his M92 mixed assessment coursework assignment, in breach of the Mixed Assessment Candidate Guidelines. The CII case examiner, invited the respondent to approve and sign a consensual order under 9.1 of the CII Disciplinary Procedure Rules 2015, to which the respondent agreed, and which was signed on 23 August 2018. The sanctions issued were that the respondent: a) be reprimanded; b) take and complete the CII on line ethics course before booking any further CII examinations, enrolling on any CII assessments or applying for any CII recognition of prior learning. To be completed within six months of the date of the order (Reg 12.6d). c) had the coursework result disallowed; d) be excluded from CII examinations and assessments for 24 months from the examinations or assessments held by the Institute with effect from the date of the order (Reg 12.6l). e) be excluded for a period of 24 months from applying for CII recognition of prior learning with effect from the date of the order (Reg 12.6p). f) No examinations, assessments or qualifications obtained by the respondent during the period of the exclusion will be eligible for CII recognition of prior learning with effect from the date of the order (Reg 12.6p). William Vernon, Lockton, Houndsditch, London The coursework assessment candidate was found to have plagiarised a M05 mixed assessment coursework assignment written by another candidate, in breach of the Mixed Assessment Candidate Guidelines. The CII case examiner, invited the respondent to approve and sign a consensual order (“Order”) under 9.1 of the CII Disciplinary Procedure Rules 2015, to which the respondent agreed, and which was signed on 10 August 2018. The sanctions issued were that the respondent: a) be reprimanded (DR 12.6a); b) take and complete the CII on line ethics course before attempting to book any further CII examinations, enrol on any CII assessments, apply for any CII recognition of prior learning (Reg 12.6d); c) have the
M05 mixed assessment coursework assignment result disallowed (Reg 12.6); d) be excluded from CII examinations and assessments for 18 months (with effect from 13 August 2017) (Reg 12.6l); e) be excluded from applying for CII recognition of prior learning for 18 months (with effect from 13 August 2017) (Reg 12.6p); and f) No examinations, assessments or qualifications obtained by the respondent during the period of the exclusion will be eligible for CII recognition of prior learning with effect from the date of the order (Reg 12.6p).
BREACH OF THE CII CODE OF ETHICS Nicholas Roberts, Dip PFS, Origen Financial Services, 1 Lakeside Road, Farnborough, Hampshire The respondent was convicted in January 2013 for failing to stop after an accident and driving/ being in charge a motor vehicle while above the alcohol limit (these convictions are now spent). The respondent had breached his obligations under the CII Code of Ethics and failed to disclose these convictions to the CII within a reasonable time and falsely or recklessly declared that he had no convictions when he applied for CII membership in May 2016. The CII case examiner invited the respondent to approve and sign a consensual order under Rule 9.1 of the CII Disciplinary Procedure Rules 2015, to which the respondent agreed, and which came into effect on 23 August 2018. The sanctions imposed were that the Respondent: a) be reprimanded; b) take and complete the CII on-line ethics course before booking any further CII examinations, enrolling on any CII assessments or applying for any CII recognition of prior learning (either as a member or non-member); c) Have a record of this matter be added to the CII’s disciplinary records; d) Be suspended from membership for a period of 3 years from the date of this order. However, in light of the respondent’s contrition and cooperation, this element of the sanctions is suspended
The CII w to make c ishes unless the lear that, ca indicates se reported allegation otherwise, against m s and findings implicate embers do not those m employers embers’ in any way
for a period of three years from the date of this order and will, subject to the respondent not being found to have breached the Code of Ethics during this time, automatically expire following this three-year period (Reg 12.6h and p). If a further breach occurs during this period, the three-year suspension will automatically be triggered, in addition to any further sanctions imposed by a CII case examiner and/or disciplinary panel.
“To date, the CII has dealt with five instances of non-members using CII designations for 2018. As this is an infringement of CII’s trademarks, where people persist in misusing CII designations, legal action will be taken against them”.
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TAKE NOTE Where the disciplinary panel or case examiner has decided to publish details of a disciplinary case ascribed (ie where an individual has been named), every care has been taken to identify members correctly. Please contact the CII if there is any doubt about the identity of a member who may have been the subject of disciplinary proceedings and in relation to whom a report has been published.
thejournal.cii.co.uk / The Journal / October - November 2018
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