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Violation Tracker UK Individual Case

Company: UHY Wingfield Slater Limited
Company City/Town: Sheffield
Company Nation/Region: England
Penalty: £3,924
Year: 2020
Date: 9 April, 2020
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: UHY Wingfield Slater Limited, Sheffield, United Kingdom has agreed to pay a regulatory penalty of £3,924, which was decided by the Audit Registration Committee. This was in view of the firm's admitted breach of audit regulations 3.03 and 2.03a for its failure to agree an extension with an AIM listed client that the Responsible Individual could continue to act for a total period of seven years and for its failure to ensure regulated affiliate status was held by a director since appointment.
Action Type: agency action
Settlement Type: Audit Registration Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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