Basic Search  |  Summaries  |  Advanced SearchCompany City/Town: London
Company Nation/Region: England
Penalty: £464
Year: 2018
Date: 9 November, 2018
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: Buzzacott LLP,130 Wood Street,London EC2V6DL, has agreed to pay a regulatory charge of £464, which was decided by the Investment Business Committee. This was in view of the firm's admitted breach of DPB (Investment Business) Handbook regulation 2.03b for failing to obtain the required affiliate status for a non-member principal when they were appointed as a principal on 1 October 2014.
Action Type: agency action
Settlement Type: Investment Business Committee decision
Agency: Institute of Chartered Accountants in England and Wales
Source of Data: (click here)