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Violation Tracker UK Individual Case

Company: Lever Bros & Co
Company City/Town: Isleworth
Company Nation/Region: England
Penalty: £449
Year: 2020
Date: 5 November, 2020
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: Lever Bros & Co, Isleworth, United Kingdom, has agreed to pay a regulatory charge of £449, which was decided by the Investment Business Committee. This was in view of the firm's admitted breach of Designated Professional Body (Investment Business) Handbook 2018 regulation 2.03b for failing to obtain DPB affiliate status for a principal between 11 May 2017 and 5 August 2020, rendering the firm ineligible to hold a DPB licence.
Action Type: agency action
Settlement Type: Investment Business Committee decision
Agency: Institute of Chartered Accountants in England and Wales
Source of Data(click here)