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Violation Tracker UK Individual Case

Company: Benson Wood Limited
Company City/Town: Billingham
Company Nation/Region: England
Penalty: £700
Year: 2020
Date: 6 August, 2020
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: Benson Wood Limited, Billingham, United Kingdom, has agreed to pay a regulatory charge of £700, which was decided by the Investment Business Committee. This was in view of the firm's admitted breach of Designated Professional Body (Investment Business) Handbook 2018 regulation 3.09 for providing exempt regulated services to clients of a connected firm, which were not incidental and complementary to other services
Action Type: agency action
Settlement Type: Investment Business Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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