| Regulatory penalty |
Reason for regulatory action |
| €250 |
A firm included incorrect information on the annual return |
€500
|
A firm did not comply with the Code of Ethics
|
€250
|
A firm had no money laundering policies and procedures in place and no money laundering training had taken place
|
€5000
|
A firm repeatedly breached the Investment Business Regulations
|
€500
|
A firm repeatedly breached the Audit Regulations
|
€250
|
A firm breached the Audit Regulations
|
€250
|
A firm incorrectly filed exempt files at Companies House
|
€250
|
A firm included incorrect information on the annual return
|
€250
|
A firm included incorrect information on the annual return
|
€250
|
A firm included incorrect information on the annual return
|
€250
|
A firm disclosed on its Annual Return that it had appropriate money laundering procedures in place when it did not
|
€250
|
A firm included incorrect information on the annual return
|
€4000
|
A firm signed off four audit reports without completing any audit work
|
€1000
|
A firm did not disclose information on its annual return in respect of the number of audit clients
|
€250
|
A firm disclosed on its Annual Return that money laundering policies and procedures were in place and that money laundering training had taken place when it had not
|
£100
|
A firm incurred a gap in Professional Indemnity Insurance cover
|
€1125
|
A member was conducting accountancy work without holding a practising certificate in breach of the Public Practice Regulations
|
€500
|
A firm had not complied with the Code of Ethics
|
€250
|
A firm included incorrect information on the annual return
|
€1000
|
A firm had not complied with the Code of Ethics
|
€250
|
A firm included incorrect information on the annual return
|
€250
|
A firm failed to identify an ODCE reporting requirement
|
€1000
|
A firm failed to act with professional competence and care
|
€250
|
A firm included incorrect information on the annual return
|
€2250
|
A firm failed to notify CARB on a timely basis of a change in its circumstances in breach of the Audit Regulations
|
€250
|
A firm included incorrect information on the annual return
|
€250
|
A firm included incorrect information on the annual return
|
€250
|
A firm included incorrect information on the annual return
|
£1000
|
A firm breached Section 71(4) (c) European Communities (Statutory Audits) Regulations 2010
|
€250
|
A firm included incorrect information on the annual return
|
£4000
|
A firm signed four audit reports without completing any audit work
|
£250
|
A firm provided CARB with incorrect pre-visit information
|
£250
|
A firm included incorrect information on the annual return
|
£1000
|
A firm had not complied with a Committee condition
|
€100
|
A firm incurred a gap in Professional Indemnity Insurance cover
|
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