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Violation Tracker UK Individual Case

Company: Barnes Business Services Ltd
Company City/Town: Mirfield
Company Nation/Region: England
Penalty: £2,131
Year: 2019
Date: 21 November, 2019
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: Barnes Business Services Ltd., Mirfield, agreed to pay a regulatory charge of £2,131 which was decided by the Investment Business Committee. This was in view of the firms' admitted breach of Regulation 2.03b for the appointment of a director who was not a member of DPB or an affiliate rendering the firm ineligible for a DPB licence between 10 October 2016 and 24 June 2019.
Action Type: agency action
Settlement Type: Investment Business Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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