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Violation Tracker UK Individual Case

Company: Hornbeam Accountancy Services Ltd
Company City/Town: Norwich
Company Nation/Region: England
Penalty: £1,501
Year: 2019
Date: 5 November, 2019
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: Hornbeam Accountancy Services Ltd,Norwich, has agreed to pay a regulatory charge of £1,501, which was decided by the Investment Business Committee. This was in view of the firm's admitted breach of Regulation 2.03bof the DPB (Investment Business) Handbook for appointing a director who was no longer an ICAEW member and failing to obtain DPB/audit affiliate status for them, rendering the firm ineligible for a DPB licence between 13 April 2018 and 29 October 2018.
Action Type: agency action
Settlement Type: Investment Business Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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