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, four consent orders from the Conduct Committee, and one settlement order have been published.
Included within the latest published orders are the following:
- failure to ensure a firm was supervised by an appropriate anti-money laundering supervisory authority over a period of 13 years;
- submitting two mock exams to their training provider when they contained information from other parties and they knew or should have known that they should not do so, contrary to R115.1 (Professional Behaviour) of ICAEW Code of Ethics;
- failing to notify the Members’ Registrar of ICAEW of the appointment of a director within the required number of days, using the description of Chartered Accountants when they did not meet the eligibility criteria, and incorrectly completing the ICAEW annual return over that same period; and
- acting contrary to R115.1 (Professional Behaviour) of ICAEW Code of Ethics for paying a private expense out of company funds without authorisation, and acting dishonestly and contrary to R111.1 (Integrity) of ICAEW Code of Ethics for posting a purchase invoice entry in Sage when no such invoice existed.
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.
- ICAEW Ethics hub
- ICAEW’s Regulation hub
- Disciplinary Bye-laws
- Regulatory & Conduct news - subscribe to stay up to date on latest regulatory news or follow us on our dedicated Regulation and Conduct LinkedIn channel.
