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Violation Tracker UK Individual Case

Company: Horsfield-Smith Limited
Company City/Town: Bury
Company Nation/Region: England
Penalty: £907
Year: 2018
Date: 5 November, 2018
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: Horsfield-Smith Limited agreed to pay a regulatory charge of £907, which was decided by the Investment Business Committee. This was in view of the firm's admitted breach of DPB (Investment Business) Handbook regulations 2.07d and 2.03b for failing to notify ICAEW of the appointment of two principals or the retirement of another principal within 10 business days and for failing to apply for the appropriate affiliate status for a non-member principal.
Action Type: agency action
Settlement Type: Investment Business Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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