Regulatory Committee decisions

For an organisation to have credibility in the mind of the public, it must have independent and transparent regulation of its members. The IFA has effective systems in place through its conduct committees to ensure there is a proper balance between protecting the public interest and the support of IFA members. 

The objectives of the Regulatory Committee is to provide a robust, consistent and timely response to breaches of IFA Bye-laws and regulations, Money Laundering Regulations 2017 and Money Laundering Regulations 2019 and other regulations concerned with the general performance of the professional work undertaken by members, affiliates, students, member firms, and contracted firms. The Regulatory Committee may refer the matter to the Disciplinary Committee when appropriate.

The Regulatory Committee held its first meeting on 24 September 2019.

Meetings are scheduled as and when required and adverse findings of the matters considered can be found below.

Additional resources

IFA Bye-laws

Disciplinary Regulations

Sanctions guide