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Violation Tracker UK Individual Case

Company: Garton Graham & Co
Company City/Town: Hull
Company Nation/Region: England
Penalty: £30,000
Year: 2020
Date: 24 July, 2020
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: Garton Graham & Co, Hull, United Kingdom, has agreed to pay a regulatory penalty of £30,000 which was decided by the Audit Registration Committee. This was in view of the firm's admitted breach of audit regulations 7.01 and 3.01, in that the firm A)failed to comply with a condition previously imposed by failing to ensure that an external hot file review was carried out; and B) continued to act as auditor of a client despite the existence of an insurmountable fee dependency threat
Action Type: agency action
Settlement Type: Audit Registration Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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