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Violation Tracker UK Individual Case

Company: Smith & Williamson LLP
Company City/Town: London
Company Nation/Region: England
Penalty: £4,325
Year: 2019
Date: 8 May, 2019
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: Smith & Williamson LLP,25 Moorgate, London,EC2R 6AY, has agreed to pay a regulatory charge of £4,325, which was decided by the Investment Business Committee. This was in view of the firm's admitted breach of Regulation 2.03b for failing to obtain DPB affiliate status for eight non-member principals.
Action Type: agency action
Settlement Type: Investment Business Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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