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Disciplinary and regulatory record
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- Hearing date:
- 16 Oct 2019
- Acceptance date:
- 16 Oct 2019
- Committee:
- Investigation Committee
- Decision:
- Consent Order - Reprimand
-
- Hearing date:
- 13 May 2021
- Acceptance date:
- 13 May 2021
- Committee:
- Investigation Committee
- Decision:
- Consent Order - Severe Reprimand
-
- Hearing date:
- 09 Jun 2021
- Acceptance date:
- 23 Jun 2021
- Committee:
- Audit Registration Committee
- Decision:
- Offer the firm/individual regulatory penalty.
-
- Hearing date:
- 27 Jan 2022
- Acceptance date:
- 27 Jan 2022
- Committee:
- Investigation Committee
- Decision:
- Consent Order - Reprimand
-
- Hearing date:
- 23 Jan 2023
- Acceptance date:
- 23 Jan 2023
- Committee:
- Investigation Committee
- Decision:
- Consent Order - Reprimand
-
- Hearing date:
- 10 May 2023
- Acceptance date:
- 20 Jul 2023
- Committee:
- Audit Registration Committee
- Decision:
- Offer the firm/individual regulatory penalty.
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