Advisers face CII sanctions over conduct failures and ethics breaches

Recent disciplinary cases included financial planner Dylan Ellis, who was reprimanded after the CII found that he had sent two emails containing offensive and abusive language while he was a member of the institute. Ellis, who is based in Essex, began his career in financial advice in 2017 and later qualified with the CII Diploma in Regulated Financial Planning. The CII determined that Ellis' conduct breached its Code of Ethics, which requires members to maintain high standards of integrity, respect and professionalism in their dealings with others. Ellis accepted a consensual order u...