Take note of the latest disciplinary cases to ensure you or your firm are not making similar mistakes.
Since the last update, one tribunal order, thirteen consent orders from the Conduct Committee, and two fixed penalties have been published.
Included within the latest published orders are the following:
- breaches of the ICAEW Clients’ Money Regulations (effective from 1 January 2017);
- conduct that was contrary to subsection 115.1 of the ICAEW Code of Ethics – Professional Behaviour (effective from 1 January 2020) due to the sharing of an answer to a mock exam with two fellow students;
- the preparation and Independent Examination of a set of financial statements which were incorrect for a number of reasons; and
- a breach of the Professional Conduct in Relation to Taxation (effective 1 March 2017) and/or subsection 115 of the ICAEW Code of Ethics (effective 1 January 2020) due to the promotion of a tax avoidance scheme that was contrary to the intentions of parliament.
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.
