Discipline

“Every member on election to membership and so long as he remains a member shall be deemed to have undertaken strictly to observe the standard of professional conduct and practice required by the Council and comply with any code of conduct, rules of professional ethics, practice directions, rules and regulations governing professional conduct and practice including the conditions for the issue of practising certificates by the Council.”

“Each graduate and each registered student shall strictly observe the standard of professional conduct and practice required by the Council and comply with any code of conduct, rules of professional ethics, practice directions, rules and regulations governing professional conduct and practice of members unless the Council or the Disciplinary Tribunal otherwise decide or they are otherwise inapplicable by the reason of their not having acquired the minimum years of experience, training or passing the prescribed examinations.”

A valid complaint must be supported by evidence that is sufficient to show the possibility of alleged improper acts or professional misconduct committed by a member/graduate/registered student.

Unsubstantiated allegations (including anonymous complaints) CANNOT be processed.

If the misconduct complaint case is already under disciplinary proceedings, no voluntary resignation on membership/graduateship/studentship would be processed. Application to resign from membership/graduateship/studentship could only be processed upon settlement of all outstanding payments.

Sanctions or penalties imposed by the Disciplinary Tribunal may involve the imposition of a fine, censure or other forms of penalty and in severe cases, removal from membership/graduateship register.

Pursuant to the Charter and Byelaws of The Chartered Governance Institute and the Articles of Association of the Institute, where disciplinary action is being considered against a member/graduate, his/her membership shall not lapse until the procedure is completed.

If a CPD non-compliance case is already under disciplinary proceedings:

• no voluntary resignation on membership/graduateship would be processed. Application to resign from membership/graduateship could only be processed upon settlement of all outstanding payments and fulfilment of CPD requirements;
• the member/graduate concerned shall report and update the Institute Secretariat on a quarterly basis to demonstrate his/her effort in fulfilling the CPD requirements; and
• attendance at a disciplinary hearing will be required if the member/graduate concerned fails to rectify his/her alleged contravention.

For the compliance of 2017/2018 CPD requirements and onwards, the Disciplinary Tribunal has decided the following being effective from 25 July 2018:

• no further extension of time before a disciplinary hearing will be given by the Disciplinary Tribunal to the member/graduate concerned to rectify his/her alleged contravention as ample opportunities have been given by the Professional Development Committee;
• a notice to disciplinary hearing will be issued to the member/graduate concerned and the case will be proceeded to a disciplinary hearing directly;
• a fine payable at a minimum of HK$3,000 will usually be imposed for each breach of CPD requirement;
• the member/graduate concerned will still be required to rectify his/her breach within a prescribed period; and
• the progressive scale of penalties decided by the Disciplinary Tribunal on and being effective from 10 June 2015 will continue to apply as follows:
  • a fine payable by the member/graduate concerned (HK$3,000 per year of CPD non-compliance);
  • suspension of all rights of membership/graduateship until such time as he/she is able to demonstrate fulfilment of outstanding CPD points; and
  • removal from the register of membership/graduateship.

*Note: Au Young Hin Lap was re-elected as a member on 26 November 2018
*Note: Law Chui Yuk was re-elected as a member on 24 November 2022

24.1 The Disciplinary Tribunal can impose one or more of the following outcomes as part of its decision under byelaws 23.8 and 23.9:

• issuing a written reprimand;
• ordering the member to pay costs incurred by the Investigation Group and the Disciplinary Tribunal;
• imposing a fine on the member;
• ordering the member to pay restitution;
• cancelling the member’s practising certificate and requiring them to return it;
• suspending the member for a specified period, and deciding whether the member should continue to be liable to pay their subscription while suspended;
• calling for, and accepting, the member’s resignation;
• expelling the member, and removing their name from the membership register.

24.2 A penalty does not affect the member’s liability to pay any subscription which is due at the time of the decision or any other money they owe to the Institute at that time.

24.3 The Disciplinary Tribunal can require the complainant to pay costs in the event that the complaint is unwarranted or found to be groundless or vexatious.

24.4 Subject to the right of appeal in byelaw 25, a decision of the Disciplinary Tribunal is final and binding on all parties and must be reported to the Council and recorded by the Secretary.

27.1 The penalty or penalties which may be imposed by the Disciplinary Tribunal as part of its decision referred to in Article 26.4 above may be to do any one or more of the following:

• excluding the member, graduate or registered student concerned from the respective membership, graduateship or studentship (as the case may be) and removing his name from the appropriate register;
• calling for and accepting the resignation of the member, graduate or registered student;
• suspending all or any of his rights of membership, graduateship or studentship including the right to hold any particular class of membership, graduateship or studentship (with or without liability for continuing payment of annual subscriptions);
• cancelling and calling for the return of any practising certificate or Practitioner’s Endorsement certificate;
• imposing a fine payable by the member, graduate or registered student;
• reprimanding the member, graduate or registered student;
• ordering the member, graduate or registered student to pay costs incurred by the Investigation Group and the Disciplinary Tribunal; or
• ordering the member, graduate or registered student to pay restitution, in all cases without prejudice to the rights of the Institute to recover any arrears of subscription or any moneys due from the member, graduate or registered student to the Institute. The decision shall also include a ruling as to whether and by what means any penalty or penalties to be imposed shall be given publicity and if so whether the member, graduate or registered student shall be named.

27.2 The Disciplinary Tribunal can require the complainant to pay costs in the event that the complaint is unwarranted or found to be groundless or vexatious.

27.3 Subject to the right of appeal in Article 28, a decision of the Disciplinary Tribunal is final and binding on all parties and must be reported to the Council and recorded by the Secretary.