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Violation Tracker UK Individual Case

Company: WSM Advisors Limited
Company City/Town: London
Company Nation/Region: England
Penalty: £1,019
Year: 2019
Date: 8 January, 2019
Offence Group: financial offences
Offence Type: accounting fraud or deficiencies
Violation Description: WSM Advisors Limited,Connect House, 133-137 Alexandra Road, Wimbledon, London, SW19 7JYhas agreed to pay a regulatory penalty of £1,019.50which was decided by the Audit Registration Committee. This was in view of the firm's admitted breach of audit regulations 2.03a and 2.11 in that the firm failed to ensure that a director held audit affiliate status since October 2016 and for failing to notify ICAEW of the director's appointment within 10 business days.
Action Type: agency action
Settlement Type: Audit Registration Committee decision
Agency: Institute of Chartered Accountants in England and Wales
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