GENERAL/ MISCELLANEOUS CIRCULARS
Statement of Professional Standing Disciplinary Process Policy by CISI
By TEAM CIRCULAR EXPRESS • 15 Nov 2026
👁 3 views
This policy outlines the disciplinary procedures for the Chartered Institute for Securities & Investment (CISI) regarding the Statement of Professional Standing (SPS) for retail investment advisers.
• It details the investigation process for disciplinary actions against applicants or holders.
• It defines the roles of the Disciplinary Review Panel and Disciplinary Panel in reviewing breaches and determining sanctions.
• It details the investigation process for disciplinary actions against applicants or holders.
• It defines the roles of the Disciplinary Review Panel and Disciplinary Panel in reviewing breaches and determining sanctions.
purpose of issuance
To define the disciplinary process for CISI Statement of Professional Standing (SPS) applications and holders in accordance with UK regulator requirements.
Most Important Details
The policy applies to all retail investment advisers holding or applying for a CISI SPS. It mandates that firms must immediately inform CISI of any disciplinary action involving current or former employees. The process includes review by the Standards Team and Disciplinary Review Panel, with rights of appeal available to applicants.
is it guidelines or office order
Policy
issue for which issued
Disciplinary process for SPS holders
Document
Regards, Circular Express
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GENERAL/ MISCELLANEOUS CIRCULARS
Statement of Professional Standing Disciplinary Process Policy by CISI
By TEAM CIRCULAR EXPRESS • 15 Nov 2026
👁 3 views
This policy outlines the disciplinary procedures for the Chartered Institute for Securities & Investment (CISI) regarding the Statement of Professional Standing (SPS) for retail investment advisers.
• It details the investigation process for disciplinary actions against applicants or holders.
• It defines the roles of the Disciplinary Review Panel and Disciplinary Panel in reviewing breaches and determining sanctions.
• It details the investigation process for disciplinary actions against applicants or holders.
• It defines the roles of the Disciplinary Review Panel and Disciplinary Panel in reviewing breaches and determining sanctions.
purpose of issuance
To define the disciplinary process for CISI Statement of Professional Standing (SPS) applications and holders in accordance with UK regulator requirements.
Most Important Details
The policy applies to all retail investment advisers holding or applying for a CISI SPS. It mandates that firms must immediately inform CISI of any disciplinary action involving current or former employees. The process includes review by the Standards Team and Disciplinary Review Panel, with rights of appeal available to applicants.
is it guidelines or office order
Policy
issue for which issued
Disciplinary process for SPS holders
Document
Regards, Circular Express
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#Notification
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