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Violation Tracker UK Individual Case

Company: MG Group (Professional Services) Ltd
Company City/Town: Harrow
Company Nation/Region: England
Penalty: £698
Year: 2018
Date: 21 November, 2018
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: MG Group (Professional Services) Ltd, 166College Road, Harrow, Middlesex, HA1 1BH, has agreed to pay a regulatory charge of £698, which was decided by the Investment Business Committee. This was in view of the firm's admitted breach of DPB (Investment Business) Handbook regulation 2.03b for failing to obtain DPB affiliate status for a non-member principal following their appointment on 1 May 2014.
Action Type: agency action
Settlement Type: Investment Business Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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