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Disciplinary Matters – Breach of CII code of ethics

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Open-access content 8th November 2016

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Alexander Stuart of Bayswater, London W2, UK (order effective from 18 May 2016)

The respondent falsified a CII learning statement to show that he had passed the R03, R04, R05 and R06 examinations when he had not.

He used the learning statement to pass himself off as having completed these exams to apply for a Statement of Professional Standing, in breach of the CII's code of ethics.

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.

The sanctions issued were that the respondent would:

  1. a) be reprimanded;
  2. b) be expelled from membership of the CII;
  3. c) be excluded from CII examinations and assessments for 18 months and have to take the CII online ethics course before taking any CII exams and assessments or applying for recognition of prior learning in future or applying for a review of his exclusion from the CII;
  4. d) not be eligible for CII recognition of prior learning for examinations, assessments or qualifications obtained by the respondent for the 18-month period of examination exclusion in c) above.

The case examiner reduced the sanction that would otherwise have been applied in respect of the offence for c) and d), from three years in light of the respondent's early admission of the charge.

Lynn Toynton Dip CII, Stackhouse Poland, New House, Bedford Road, Guildford, Surrey, UK (order effective from 26 July 2016)

The respondent had been convicted of drink driving and been banned from driving. Although subsequently self-declared, the respondent failed to advise the CII at the time of her membership renewal. It was accepted that the oversight was accidental. 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. The sanctions imposed were that the respondent would be reprimanded and would have to take the CII online ethics course.

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.

The Chartered Insurance Institute (CII) wishes to make clear that, unless the case reported indicates otherwise, allegations and findings against members do not implicate those members' employers in any way.

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