Guidance

Disciplinary Sanctions against Insolvency Practitioners

To improve transparency in the regulatory regime for insolvency practitioners we are committed to publishing in one place all sanctions which have been applied to insolvency practitioners. Responsibility for monitoring and discipline of insolvency practitioners rests with five regulatory bodies.

• From: The Insolvency Service
• Published: 4 November 2014
• Last updated: 2 November 2016 — See all updates

Documents

Common Sanctions Guidance

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Table of common sanctions

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Details

Regulatory action resulting from professional misconduct may occur during three stages: the authorisation stage, particularly when considering the renewal of a licence; following a monitoring visit; and following an investigation of a complaint.

Details of the sanctions are provided by the Regulatory Bodies in an agreed format which gives a summary of the misconduct, the details of the sanction and how the Common Sanctions Guidance has been applied to the case.

The information will be made available for 12 months and summarised as part of our Annual Review of Insolvency Practitioner Regulation.

View current sanctions

Published 4 November 2014
Last updated 2 November 2016 + show all updates

1. 2 November 2016

   Common sanctions guidance amended

2. 4 November 2014

   First published.