Edition

Process to Report Rules Infractions

 

A written report may be submitted to the Society of Actuaries (SOA) if you believe that a candidate has violated the Exam Rules and Regulations or the FAP/FSA Module Terms and Conditions. The report and the name of the individual making the report will be kept confidential during the investigation process and assessment of discipline (if any).

 

Making a report

An infraction report should succinctly describe what the candidate did (or failed to do) that might be a violation of the Exam Rules and Regulations or the FAP/FSA Module Terms and Conditions. When feasible, materials should be attached to the report to document the conduct in question.

 

Please note:

  • You do not have to be a candidate or member of the SOA to file a report.
  • You must provide your name, but it will be kept confidential.

To report a possible infraction please submit a completed Infraction Report Form and attach any supporting documentation.

 

Investigation of the report

A report that a candidate has committed a violation of the Exam Rules and Regulations or the FAP/FSA Module Terms and Conditions is first reviewed by the appropriate SOA staff. (The candidate who is suspected of committing the violation is referred to as the "subject candidate.")

 

Available information is gathered with regard to the subject candidate's history with the SOA and the report is investigated by staff and the Education and Examination General Chairperson. The investigation and determination of action may take several weeks or even months. It may include additional input from you and from the subject candidate. If relevant information or other infraction reports from other sources are received, all will be considered during the investigation. The standard policy and procedures for disciplinary action related to SOA education and examinations are followed.

 

Based on the outcome of this process, disciplinary action may be taken against the subject candidate. If as a result of the investigation the SOA finds that no violation has occurred or that there is insufficient evidence to impose discipline, the investigation is concluded with no further action.

 

A matter of record

Regardless of the outcome of the investigation, the infraction report and any documentation you submit along with any information gathered during the investigation process will be kept on file with the SOA for a reasonable period of time. If other related incidents occur, the file will become part of the further investigation.

 

Questions?

We ask that all reports be submitted in writing using an Infraction Report Form. However, you may wish to discuss the situation with a member of the SOA staff before submitting your report. If you would like to discuss your report or seek more information on the infraction report process please contact:

  • Gena Long
  • Manager of Stakeholder Relations
  • Society of Actuaries
  • 475 N. Martingale Road, Ste. 600
  • Schaumburg, IL 60173
  • 847.706.3582

Thank you

Thank you for your interest in maintaining the integrity of the SOA education system. The SOA very much appreciates you taking the time to provide information when you believe a violation may have occurred.