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Violation Tracker UK Individual Case

Company: Evans & Partners
Company City/Town: Bristol
Company Nation/Region: England
Penalty: £9,967
Year: 2019
Date: 21 October, 2019
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: With the agreement of Evans & Partners of Bristol, United Kingdom, the Investigation Committee made an order that the firm be severely reprimanded, fined £6,230 and pay costs of £3,737 with respect to a complaint that the firm failed to apply customer due diligence measures on all clients, permitted funds to be withdrawn from the firm's Clients' Wages Bank Account which were greater than the credit balances held for those clients, and failed to comply with the Clients' Money Regulations
Action Type: agency action
Settlement Type: Consent Order
Agency: Institute of Chartered Accountants in England and Wales
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