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Violation Tracker UK Individual Case

Company: SPW (UK) LLP
Company City/Town: London
Company Nation/Region: England
Penalty: £4,658
Year: 2016
Date: 18 November, 2016
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: With the agreement of SPW (UK) LLP the Investigation Committee made an order that the firm be reprimanded, fined £1,300 and pay costs of £3,358 with respect to a complaint that it failed to efficiently deal with the personal tax enquiry of their client contrary to Section 130.4 of the Code of Ethics.
Action Type: agency action
Settlement Type: Consent Order
Agency: Institute of Chartered Accountants in England and Wales
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