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Violation Tracker UK Individual Case

Company: J P Walters & Co Ltd
Company City/Town: Darlington
Company Nation/Region: England
Penalty: £5,000
Year: 2019
Date: 27 September, 2019
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: J P Walters & Co Ltd,67 Duke Street, Darlington, County Durham, DL3 7SD, has agreed to pay a regulatory penalty of £5,000, which was decided by the Audit Registration Committee. This was in view of the firm's admitted breach of audit regulation 3.11 for failing to keep audit working papers for a period of at least six years and audit regulations 3.20 and 6.06 in that the firm failed to have cold file reviews carried out since 2012 and for incorrectly completing its 2013, 2014 and 2016 annual returns.
Action Type: agency action
Settlement Type: Audit Registration Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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