Important
Notice

Further to the resumption of counter services early this month, we are pleased to re-open our library facilities with effect from 21 September 2020 (Monday). The library opening hours are 9:00 a.m. to 7:00 p.m. Monday to Friday, and 9:00 a.m. to 12:00 noon on Saturday.

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Complaints

Role

 

Complaints against members, member practices and registered students may arise from matters brought to the attention of the Institute by external parties or through other means. They are assessed by the Institute’s Professional Conduct Committee (PCC), supported by the compliance department. Council will further assess complaints for which PCC has recommended Resolution by Agreement (RBA) or referral to Disciplinary Panels.

 

Lodging a complaint

 

  • Complaint Form (specifying the distinction between an informant and a complainant) [ENG][CHI]

 

Responding to a complaint

 

 

The Process

 

1.

The Institute’s compliance department carries out an initial assessment of the adequacy of the supporting evidence to determine whether a member, member practice or registered student has failed to follow professional standards issued by the Institute or has committed other improper acts.

2.

On the conclusion of its enquiries, the compliance department will submit a report on its findings and conclusions to the PCC for its consideration of whether to:

(a)

Dismiss complaints when there is inadequate evidence to show a prima facie case of an alleged offence, or when the matter is outside the Institute’s jurisdiction;

(b)

Issue Disapproval Letters when the non-compliance is of minor severity;

 

(c)

Recommend to the Council that moderately serious complaints meeting pre-established criteria be resolved by Resolution By Agreement (RBA); or

 

(d)

Recommend to the Council that more serious complaints, or those not meeting the criteria for an RBA, be referred to the Disciplinary Panels.

3.

The Institute will inform all parties to a complaint as to the dismissal or issuance of a disapproval letter.Procedures for lodging an appeal against the PCC’s decision will be included in the correspondence.

4.

Although we aim to submit cases to the PCC within 6 months of receipt, the time required for completing complaints depends on the complexity of the issues involved and the extent of correspondence with the relevant parties. Some cases may take longer due to their complexities and other reasons.

 

 

Statistics 

 

Complaints in progress:

 

 

For the year ended 30 June

 2020

 2019

 2018

 2017

2016

Beginning balance  41 29 48 42 50
     Received 113 111 92 110 96
Caseload 154 140 140 152 146
     Evaluated by PCC  (95)   (89) (106) (92) (90)

     Cases involving non-members* or outside

     the Institute's jurisdiction                                    

(11) (10) (5) (12) (14)
Ending balance  48 41 29 48 42

 

* Subject to offences under section 42 of Professional Accountants Ordinance

 

 
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