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Violation Tracker UK Individual Case

Company: Cavu Corporate Finance Limited
Company City/Town: Newcastle upon Tyne
Company Nation/Region: England
Penalty: £1,284
Year: 2018
Date: 6 November, 2018
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: Cavu Corporate Finance Limited,City Quadrant,11 Waterloo Square,Newcastle upon Tyne NE1 4DP, has agreed to pay a regulatory charge of £1,284,which was decided by the Investment Business Committee. This was in view of the firm's admitted breach of DPB (Investment Business) Handbook Regulations 2.07b and 2.07h for failing to notify ICAEW of the second director in the firm's application for a DPB licence on 14 August 2013,or subsequently.
Action Type: agency action
Settlement Type: Investment Business Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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