Take note of the latest disciplinary cases to ensure you or your firm are not making similar mistakes.
Since the last update, three Tribunal Committee tribunal orders, 13 consent orders from the Conduct Committee, two fixed penalty orders, and three settlement orders have been published.
Included within the latest published orders are the following:
- failing to submit to ICAEW the annual return for a firm for three consecutive years, contrary to Practice Assurance 12 of the Practice Assurance Regulations (effective from 31 July 2019 to 31 May 2023) and/or Regulation 2.5 of the Professional Indemnity Regulations (effective from 29 May 2020 to 31 December 2020 and/or 1 January 2021 to 31 May 2023);
- failure to perform a detailed review and/or identify that property rental income and expenses had been omitted from their self-assessment tax returns for a period of five years;
- a breach of paragraph 400.4 of the Insolvency Code of Ethics (effective between 1 January 2009 and 30 April 2020) and/or paragraph R2103.1(b) of the Insolvency Code of Ethics (effective from 1 May 2020) for failing to take reasonable steps to ensure that a number of cases were progressed in a timely way; and
- driving a motor vehicle on a public road having consumed alcohol in excess of the prescribed limit.
Further details can be found on our Disciplinary Database or please visit our Public Hearings page.
Further details can be found on our Disciplinary Database or please visit our Public Hearings page.
Useful links
Please make use of the following resources to ensure you are up to date with the latest regulatory information and news.
