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Violation Tracker UK Individual Case

Company: Numbers (UK) Ltd
Company City/Town: Plymouth
Company Nation/Region: England
Penalty: £1,138
Year: 2019
Date: 30 November, 2019
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: Numbers (UK) Ltd, Plymouth, has agreed to pay a regulatory charge of £1,138, which was decided by the Investment Business Committee. This was in view of the firm's admitted breach of Regulations 2.07d and 2.03b for failing to notify ICAEW of the appointment of a director on 10 October 2017 and for failing to apply for DPB affiliate status for the director from 10 October 2017 to 14 May 2019
Action Type: agency action
Settlement Type: Investment Business Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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