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Violation Tracker UK Individual Case

Company: Thaker & Co.
Company City/Town: Ilford
Company Nation/Region: England
Penalty: £575
Year: 2018
Date: 29 July, 2018
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: Thaker & Co of 31 Southwood Gardens, Gants Hill, Ilford, Essex, IG2 6YF, has agreed to pay a regulatory charge (determined by the Investment Business Committee) of £575 for failing to comply with its assurance that it will conduct and document annual compliance reviews in accordance with DPB Regulation 4.04.
Action Type: agency action
Settlement Type: Investment Business Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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