Basic Search  |  Summaries  |  Advanced SearchCompany City/Town: Dunstable
Company Nation/Region: England
Penalty: £700
Year: 2021
Date: 10 February, 2021
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: Higginson & Co (UK) Ltd of Dunstable, 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 by the Practice Assurance Compliance Principal on behalf of the firm to document a risk assessment for each client, as required by the Money Laundering Regulations 2007
Action Type: agency action
Settlement Type: Practice Assurance Committee decision
Agency: Institute of Chartered Accountants in England and Wales
Source of Data: (click here)