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Violation Tracker UK Individual Case

Company: Kleinman Graham
Company City/Town: Potters Bar
Company Nation/Region: England
Penalty: £3,000
Year: 2020
Date: 12 August, 2020
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: Kleinman Graham,Potters Bar, United Kingdom, has agreed to pay a regulatory penalty of £3,000, which was decided by the Audit Registration Committee. This was in view of the firm's admitted breach of audit regulations 3.20 and 6.06 for failing to arrange for an audit compliance review, including cold file reviews, to be carried out between October 2017 and November 2019, and for the incorrect completion of its 2018 ICAEW annual return.
Action Type: agency action
Settlement Type: Audit Registration Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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