Take note of the latest disciplinary cases to ensure you or your firm are not making similar mistakes.
Since the last update, five Tribunal Committee tribunal orders, one Appeal Committee panel order, ten consent orders from the Conduct Committee, four fixed penalty orders, and one settlement order have been published.
Included within the latest published orders are the following:
- engaging in public practice without holding a practising certificate, contrary to Principal Bye-law 51a;
- a breach of R2103.1 b) of the Insolvency Code of Ethics (Professional Competence and Due Care) effective from 1 May 2020 for failing to comply with the requirements of the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 by failing to undertake adequate due diligence in respect of five liquidation appointments;
- the signing of an audit opinion when the audit of certain areas did not comply with ISA 200, ISA 230, ISA 500, and ISA 520; and
- the submission of false and/or inaccurate timesheet entries by an individual to their employer.
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.
