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Violation Tracker UK Individual Case

Company: OBC The Accountants Limited
Company City/Town: Eastbourne
Company Nation/Region: England
Penalty: £850
Year: 2018
Date: 5 November, 2018
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: OBC The Accountants Limited,2 Upperton Gardens, Eastbourne, East Sussex BN21 2AHhas agreed to pay a regulatory charge of £850,which was decided by the Investment Business Committee. This was in view of the firm's admitted breach of DPB (Investment Business) Handbook Regulation 4.15 for failure to disclose and obtain consent from clients in respect of regulatory referral fees.
Action Type: agency action
Settlement Type: Investment Business Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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