DISCIPLINARY AND COMPLIANCE PROCEDURE

Final Draft-1 - Effective October 21, 2007

The matter shall first be referred to the Professional Compliance Committee of the AMGA (“PCC”), which shall review the substance of the alleged violation. The PCC shall then conduct an investigation. If the PCC determines there has been no violation of the Code of Ethics and Conduct, the PCC may elect to take no further action in which case the matter shall be deemed closed. The PCC shall provide written notice (“Notice”) to the person, persons and/or company against which the complaint has been made (“Respondent”). The Notice may be delivered personally, by mail, or by email. The PCC shall use reasonable efforts to confirm that the Notice was received by the Respondent; provided, however, if such confirmation is not reasonably possible, the PCC may still proceed as set forth herein.
The Notice shall contain sufficient details of the allegation to permit the Respondent to respond if they so choose. Any such response shall be in writing and submitted to the PCC within thirty (30) days of the Respondent’s receipt of the Notice.
After receipt of the response submitted by the Respondent or after the time for responding has passed if no response was filed, the PCC shall render a decision about the alleged violation of the Code of Ethics, which may include any combination of the following:

Dismissal of some or all of the allegations; and/or
Probation upon terms and conditions established by the PCC including the length of the probation; and/or
Revocation of certification, accreditation and/or membership, including the length of the revocation, after which time the Respondent may reapply for certification, accreditation and/or membership. Multiple or serious offenses may result in permanent revocation.

The PCC shall notify the Respondent of the decision in writing, after which the Respondent may submit a written request for a hearing before the PCC. The hearing shall be held within thirty (30) days of the receipt of the request by the PCC and a final decision shall be rendered by the PCC within thirty (30) days after the hearing. The hearing may be conducted by telephone. The PCC, in its sole discretion, may stay the enforcement of its decision until a final decision is rendered. The Respondent shall be notified in writing of the decision regarding a stay of enforcement and of the final decision of the PCC.
If a Respondent disagrees with the actions of the PCC, the Respondent shall have rights of appeal as set forth in Section XIX of the Bylaws of the AMGA.