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Violation Tracker UK Individual Case

Company: H.L. Barnes & Sons
Company City/Town: Stratford upon Avon
Company Nation/Region: England
Penalty: £700
Year: 2020
Date: 16 June, 2020
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: H.L. Barnes & Sons of Stratford-Upon-Avon, United Kingdom has agreed to pay a practice assurance penalty of £700. This was in view of the firm's admitted breach of Practice Assurance Regulation 4 (2008 Regulations); in that the firm failed to comply with a written assurance given in its responses to Appendix B, paragraph 1 of the 2015 closing record and letter dated 29 February 2016, to document a risk assessment for each existing client, as required by the MLR 2007.
Action Type: agency action
Settlement Type: Practice Assurance Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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