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Violation Tracker UK Individual Case

Company: Charles Alexander & Co Limited
Company City/Town: London
Company Nation/Region: England
Penalty: £1,000
Year: 2019
Date: 10 September, 2019
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: Charles Alexander & Co Limited,67 Grosvenor Street, Mayfair, London, W1K 3JN, has agreed to pay a regulatory penalty of £1,000, which was decided by the Audit Registration Committee. This was in view of the firm's admitted breach of audit regulations 6.06 and 3.20 for failing to comply with undertakings to notify ICAEW of a new audit client and failing to arrange and submit the results an external cold file review.
Action Type: agency action
Settlement Type: Audit Registration Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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