Basic Search  |  Summaries  |  Advanced SearchCompany City/Town: Midhurst
Company Nation/Region: England
Penalty: £700
Year: 2020
Date: 3 December, 2020
Offence Group: financial offences
Offence Type: anti-money-laundering deficiencies
Violation Description: Goodale Mardle Limited of Midhurst, United Kingdom has agreed to pay a practice assurance penalty of £700. This was in view of the firm's admitted breach of Practice Regulation 4 (2008 Regulations). The firm had failed to comply with a written assurance, given by the Practice Assurance Principal on behalf of the firm, in response to the closing record, that it would: document anti-money laundering client risk assessments and ongoing client due diligence; complete reviews of compliance with anti-money laundering policies and procedures; and provide regular anti-money laundering training to staff and sub-contractors
Action Type: agency action
Settlement Type: Practice Assurance Committee decision
Agency: Institute of Chartered Accountants in England and Wales
Source of Data: (click here)