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.

Documents

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. Common sanctions guidance amended
  2. First published.