What is your duty to co-operate with your regulator? – Kingsley Napley Regulatory Blog
‘The Institute of Chartered Accounts in England and Wales (‘ICAEW’) has recently imposed a severe reprimand, a £5000 fine and £6,473 costs on a member who failed to cooperate with them during the investigation process. The tribunal found that the member failed to provide information, explanations and documents requested by the ICAEW Conduct Department, including anti-money laundering policies, share documentation, and other requested materials. It was decided this breached the ICAEW’s Investigation and Disciplinary Regulation 16.1.’
Kingsley Napley Regulatory Blog, 8th January 2026
Source: www.kingsleynapley.co.uk

