Complaints, disciplinary and fitness processes and regulations
This section sets out the processes and regulations for the investigation of complaints, disciplinary action and appeals effective up to 31 May 2023.
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This section sets out the processes and regulations for the investigation of complaints, disciplinary action and appeals effective up to 31 May 2023.
This section sets out the processes and regulations for the investigation of complaints, disciplinary action and appeals. It also sets out the duties of members and firms to report and investigate misconduct, and the process that applies in fitness cases.