18-08-2013, 05:33 PM
Here is a recent report from the Institute and Faculty of Actuaries as to how they deal with misconduct. The respondent is always named in its findings and the report is published online and in the magazine. There is no lynching or emotion in the report and the report is produced purely for information purposes.
Determination Report for Adjudication Panel
29 May 2013
Mr. Nishanthan Gunasingam FIA, (the Respondent)
On 29 May 2013 the Adjudication Panel considered a complaint that the Respondent, being at the material time a Fellow of the Institute and Faculty of Actuaries:
1. On 9 March 2012 was charged with the offence of outraging public decency, contrary to common law, for which he pled guilty at the City of Westminster Magistrates’ Court.
2. In failing to disclose this conviction to the Institute and Faculty of Actuaries failed to fulfil his duty under Rule 1.19 of the Disciplinary Scheme
And in his actions above failed to maintain and observe the standards of conduct expected of a Member, in breach of Principle 1 of the Actuaries’ Code and, in any event, constituting misconduct in terms of Rule 1.6 of the Disciplinary Scheme of the Institute and Faculty of Actuaries, being conduct falling below the standards of behaviour, integrity, competence or professional judgement which other Members or the public might reasonably expect of a Member.
Determination
Having considered the case report and the appendices submitted by the Investigation Actuary, the Panel determined that the case report disclosed a prima facie case of Misconduct and in accordance with Rule 4.4(a) that the Respondent should be invited to accept that there has been Misconduct and the following sanctions:
• A reprimand; and
• A fine of £1,000.
The Panel’s reasons were as follows:
1. The circumstances of the offence is that the Respondent, between 31 August 2011 and 26 September 2011, on the London Underground, committed an act outraging public decency by behaving in an indecent manner namely filming up females’ skirts.
2. The Disciplinary Scheme states at Rule 1.12 that
“For the purposes of this Scheme it shall amount to prima facie evidence of Misconduct that:
…
(b) a Respondent, has before a Court of competent jurisdiction in the United Kingdom, been convicted of an indictable offence”
The Adjudication Panel saw no evidence in the Case Report that persuaded them that they should depart from the Disciplinary Scheme. Consequently they unanimously concluded that the allegations, which are not disputed by the Respondent, amounted to a prima facie case of Misconduct.
3. The Panel, by majority, determined that the sanctions available to them were sufficient to deal with this case and therefore decided not to refer the matter to a Tribunal. In considering which sanctions were appropriate the Panel had regard to the Disciplinary Board guidance and as such they took into consideration the sanctions which had previously been imposed by Westminster Magistrates’ Court in relation to allegation 1 above.
4. The Panel considered the actions of the Respondent to be reprehensible and that they are not befitting of a member of the Institute and Faculty of Actuaries (IFoA). Nevertheless the relevant authorities have sanctioned the Respondent for the criminal offence and the Panel concluded that it would not be appropriate to punish the Respondent twice for the same offence by way of a further fine. On that basis the Panel determined that a reprimand was the appropriate sanction in relation to allegation 1 above.
5. The Panel noted the considerable amount of mitigation that the Respondent provided detailing his personal situation at the time, including a number of character references. The Panel accepted that the behaviour was out of character and may have been influenced by a number of other factors in the Respondent’s personal life. However the Panel did not feel that this was sufficient to negate the need for a reprimand.
6. In relation to allegation 2 above the Panel accepted the Respondent’s explanation that he was not familiar with his professional obligations and that he was required to disclose details of his conviction. However Rule 1.19 of the Disciplinary Scheme requires that a member disclose this promptly and Rule 1.22 states that “The failure of a Member to comply with Rule 1.18 and/or Rule 1.19 shall amount to prima facie evidence of Misconduct.”
7. The Panel again saw no reason to depart from the rules of the Disciplinary Scheme and again unanimously concluded that allegation 2 above amounted to a prima facie case of Misconduct.
8. It is a Member’s responsibility to ensure they are familiar with their professional obligations. The Panel determined that notwithstanding that the Respondent was unaware of his obligations prior to his conviction, the fact that he had received a conviction should have led
him to enquiring about any obligation to disclose that conviction. The Respondent failed to do so, and had it not been for the Complainant drawing the matter to the IFoA’s attention it would not have been disclosed.
9. It is in the public interest that any convictions are made known to the IFoA. It is a serious offence to fail to disclose a conviction and the Panel concluded that the Respondent should be invited to accept a fine of £1,000.
Mike Shelley (Chairman), Richard Briden, Pamela Charlwood
Jonathan Harvey (Legal Advisor)
Determination Report for Adjudication Panel
29 May 2013
Mr. Nishanthan Gunasingam FIA, (the Respondent)
On 29 May 2013 the Adjudication Panel considered a complaint that the Respondent, being at the material time a Fellow of the Institute and Faculty of Actuaries:
1. On 9 March 2012 was charged with the offence of outraging public decency, contrary to common law, for which he pled guilty at the City of Westminster Magistrates’ Court.
2. In failing to disclose this conviction to the Institute and Faculty of Actuaries failed to fulfil his duty under Rule 1.19 of the Disciplinary Scheme
And in his actions above failed to maintain and observe the standards of conduct expected of a Member, in breach of Principle 1 of the Actuaries’ Code and, in any event, constituting misconduct in terms of Rule 1.6 of the Disciplinary Scheme of the Institute and Faculty of Actuaries, being conduct falling below the standards of behaviour, integrity, competence or professional judgement which other Members or the public might reasonably expect of a Member.
Determination
Having considered the case report and the appendices submitted by the Investigation Actuary, the Panel determined that the case report disclosed a prima facie case of Misconduct and in accordance with Rule 4.4(a) that the Respondent should be invited to accept that there has been Misconduct and the following sanctions:
• A reprimand; and
• A fine of £1,000.
The Panel’s reasons were as follows:
1. The circumstances of the offence is that the Respondent, between 31 August 2011 and 26 September 2011, on the London Underground, committed an act outraging public decency by behaving in an indecent manner namely filming up females’ skirts.
2. The Disciplinary Scheme states at Rule 1.12 that
“For the purposes of this Scheme it shall amount to prima facie evidence of Misconduct that:
…
(b) a Respondent, has before a Court of competent jurisdiction in the United Kingdom, been convicted of an indictable offence”
The Adjudication Panel saw no evidence in the Case Report that persuaded them that they should depart from the Disciplinary Scheme. Consequently they unanimously concluded that the allegations, which are not disputed by the Respondent, amounted to a prima facie case of Misconduct.
3. The Panel, by majority, determined that the sanctions available to them were sufficient to deal with this case and therefore decided not to refer the matter to a Tribunal. In considering which sanctions were appropriate the Panel had regard to the Disciplinary Board guidance and as such they took into consideration the sanctions which had previously been imposed by Westminster Magistrates’ Court in relation to allegation 1 above.
4. The Panel considered the actions of the Respondent to be reprehensible and that they are not befitting of a member of the Institute and Faculty of Actuaries (IFoA). Nevertheless the relevant authorities have sanctioned the Respondent for the criminal offence and the Panel concluded that it would not be appropriate to punish the Respondent twice for the same offence by way of a further fine. On that basis the Panel determined that a reprimand was the appropriate sanction in relation to allegation 1 above.
5. The Panel noted the considerable amount of mitigation that the Respondent provided detailing his personal situation at the time, including a number of character references. The Panel accepted that the behaviour was out of character and may have been influenced by a number of other factors in the Respondent’s personal life. However the Panel did not feel that this was sufficient to negate the need for a reprimand.
6. In relation to allegation 2 above the Panel accepted the Respondent’s explanation that he was not familiar with his professional obligations and that he was required to disclose details of his conviction. However Rule 1.19 of the Disciplinary Scheme requires that a member disclose this promptly and Rule 1.22 states that “The failure of a Member to comply with Rule 1.18 and/or Rule 1.19 shall amount to prima facie evidence of Misconduct.”
7. The Panel again saw no reason to depart from the rules of the Disciplinary Scheme and again unanimously concluded that allegation 2 above amounted to a prima facie case of Misconduct.
8. It is a Member’s responsibility to ensure they are familiar with their professional obligations. The Panel determined that notwithstanding that the Respondent was unaware of his obligations prior to his conviction, the fact that he had received a conviction should have led
him to enquiring about any obligation to disclose that conviction. The Respondent failed to do so, and had it not been for the Complainant drawing the matter to the IFoA’s attention it would not have been disclosed.
9. It is in the public interest that any convictions are made known to the IFoA. It is a serious offence to fail to disclose a conviction and the Panel concluded that the Respondent should be invited to accept a fine of £1,000.
Mike Shelley (Chairman), Richard Briden, Pamela Charlwood
Jonathan Harvey (Legal Advisor)