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Violation Tracker UK Individual Case

Company: Gilpin & Harding Limited
Company City/Town: Birtley
Company Nation/Region: England
Penalty: £5,156
Year: 2020
Date: 18 August, 2020
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: Gilpin & Harding Limited, Birtley, United Kingdom, has agreed to pay a regulatory charge of £5,156, which was decided by the Investment Business Committee. This was in view of the firm's admitted breach of Designated Professional Body (Investment Business) Handbook2018 regulations 2.07d (ii) and (iii) for failing to notify ICAEW of the appointments of two non-member principals on 5 May 2016, regulation 2.03b for failing to ensure that two non-member principals held DPB affiliate status, and failing to comply with paragraph 12 of the Regulations governing the use of the description Chartered Accountants and ICAEW general affiliates.
Action Type: agency action
Settlement Type: Investment Business Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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