This page lists a summary of the past seven years of disciplinary decisions (with the exception of not proven cases). Decisions are published following the end of an Appeals process as detailed in the AIA Constitution.
Notices of upcoming hearings and outcomes for the AIA Disciplinary Committee are provided below.
Disciplinary Hearing meeting dates will be held on the following dates in 2024:
15 October 24
Published outcomes from Disciplinary Committee hearings. In line with the AIA Constitution, a full Register of Disciplinary Orders is available to view on request, please contact the Secretary to the Disciplinary Process.
15 October 2024 Disciplinary Committee Outcomes
Steven Alan Hall (UK)
Complaint / Non-Compliance
Mr Hall did not inform AIA of an ongoing Disciplinary matter with another professional body when completing the annual Practising Certificate renewal documentation
Mr Hall’s eventual exclusion from this body invalidates his fit and proper status and therefore he is no longer eligible to be a member of the Association.
Findings
The case is proven, and the member is in breach of Public Practice Regulation 6.4(b) and 6.4(c)
Order
The member is excluded from membership effective from 11 November 2024
Expiry Date
11/11/2031
Andreas Papaevripides (UK)
Complaint / Non-Compliance
Mr Papaevripides is providing Trust and Company Services to his clients without being listed as a Trust and Company Service Provider by HMRC . He is therefore in breach of MLR2017 Regulation 54 and subsequently Public Practice Regulation 19.5
The member has by omission and the provision of incorrect information, mislead AIA on 2 occasions. Breach of Public Practice Regulation 6.4 (f)
Findings
These acts of non-compliance were found proven by the Disciplinary Committee
Order
The member to be excluded from membership effective from 11 November 2024
Appeal
Mr Papaevripides has appealed this decision and the case in pending.
Dr Farooq Khan (UK)
Complaint / Non-Compliance
The member was referred for his non-payment of a £2000 Disciplinary fine making him liable to disciplinary action under AIA Bye-Law 8, The Association of International Accountants’ Complaints, Disciplinary & Appeals Regulations 2022, Regulation 3.1(g)
Findings
To ignore a sanction levied by an AIA Disciplinary Committee is serious lapse of professional conduct as it has the potential to undermine public confidence in the AIA and the Accountancy profession as a whole. It therefore follows that it is not in the public interest or in the interest of the Association for Dr Khan to continue as an AIA member
Order
Dr Khan is to be excluded from membership of the Association effective from the closure of the appeal window. No additional financial penalties are to be imposed.
Appeal
Dr Khan has paid the outstanding fine and submitted an appeal against the exclusion order.
Dr Francesco Colcerasa
Complaint / Non-Compliance
The member has continually failed to communicate with AIA.
He has not paid the £2000 Disciplinary fine imposed by the AIA Practice Compliance Committee.
He has not notifed AIA of any changes to his registered office address.
Findings
Communication between a professional accountancy body and its members is fundamental to the provision of effective supervision of member compliance with the Money Laundering regulations and the allegation is proven.
To ignore a sanction levied by an AIA Disciplinary Committee is serious lapse of professional conduct as it has the potential to undermine public confidence in the AIA and the Accountancy profession as a whole. It therefore follows that it is not in the public interest or in the interest of the Association for Dr Colcerasa to continue as an AIA member.
Order
The member is excluded from membership effective from 11 November 2024
Expiry Date
11/11/2031
11 April 2024 Disciplinary Committee Outcomes
Rizwanul Haq (UK)
Complaint / Non-Compliance
High level of non-compliance with AML Regulations identified during an onsite review which has not been sufficiently addressed. Rejection of member’s appeal by PCAC
Findings
The case is proven, and the member is in breach of Bye-Law 3b, 3c, and Public Practice Regulation 12.1
Order
The member is to be excluded from membership effective from 11 April 2024
Expiry Date
11/04/2031
Andrew Onyemachi Uche (UK)
Complaint / Non-Compliance
Failure to comply with the order of the Practice Compliance Committee 7 February 2024 Failure to communicate with AIA with the aim of addressing this matter.
The poor level of communication with AIA is incompatible with membership requirements and expectations of a Professional Accountancy Body
Findings
The member is in breach of Regulations Complaints, Disciplinary & Appeals 3.1 (g). The case is proven.
Order
The member to be excluded from membership effective from 11 April 2024
Expiry Date
11/04/2031
Abiodun Olugboji (UK)
Complaint / Non-Compliance
Breach of Public Practice Regulation 19.5 Anti Money Laundering Supervision. Failure to undertake the appropriate client due diligence as specified in MLR 27 and 28. 2. Rejection of an appeal against the ruling of the AIA Practice Compliance Committee of 7 February 2024
Findings
The member is in breach of Regulations Complaints, Disciplinary & Appeals regulation 3.2 (a) and the case is proven.
Order
The member to be excluded form membership effective from 11 April 2024
Expiry Date
11/04/2031
30 July 2024 Practice Compliance Committee Outcomes
Faraz Ahmad (UK)
Complaint / Non-Compliance
1. Failure to submit to AIA a copy of the Firmwide Risk Assessment for the Practice Eaccountax Limited which contravenes AIA Public Practice Regulation 12.1 and MLR2017 Regulation 18(6)
2. Failure to submit a copy of a recent basic Disclosure and Barring Services certificate which contravenes AIA Public Practice Regulation 12.1 and MLR2017 Regulation 26(1)
Findings
After careful consideration of all the information presented to it, in accordance with its remit under Bye-Law 10.1 (f) of the AIA Constitution the Committee found:
Allegation 1 proven and Allegation 2 proven
Order
(i) The member is to undergo an onsite enforcement monitoring review of his firm Eaccountax Limited to be undertaken within 6 weeks of his notice.
(ii) Failure to satisfy the above orders within the period specified, you are to receive an additional fine of £2000
Andreas Papaevripides (UK)
Complaint / Non-Compliance
1. Member failed to submit, his personal tax returns, VAT returns for his business and failed to pay outstanding liabilities. These actions breach AIA Public Practice Regulation 11.2(j)
2. The notification and supporting evidence provided to AIA by HMRC states that the member’s actions constitute misconduct. He is therefore liable to disciplinary action under AIA Regulations Complaints, Disciplinary & Appeals Regulation 3.1(a)
3. The member providing Trust and Company Services to clients without being registered with HMRC. This contravenes MLR2017 Regulation 54 and related Public Practice Regulation 19.5
4. By omission, and by providing incorrect information to AIA, the member mislead the Association on two occasions.
Findings
After careful consideration of all the information presented to it, in accordance with its remit under Bye-Law 10.1 (f) of the AIA Constitution the Committee found each of the four allegations listed proven.
Order
The member is to receive a disciplinary fine of £2000 payable within 21 days.
He is referred to the AIA Disciplinary Committee with a recommendation for exclusion from membership of the Association.
Sylvester Kavalo (UK)
Complaint / Non-compliance
1. The member knew of an ongoing ACCA investigation of him since 1 February 2022 but confirmed on his AIA Practising Certificate renewal documents for the periods 2022/2023 and 2023/2024 that he was not undergoing any investigations or disciplinary procedures
2. Exclusion from ACCA challenges the member’s fit and proper standing with AIA.
Findings
After careful consideration of all the information presented to it, in accordance with its remit under Bye-Law 10.1 (f) of the AIA Constitution the Committee found:
Allegation 1 proven and Allegation 2 proven
Order
For the provision of false, inaccurate or misleading information the member has received a severe reprimand and fine of £5000 payable within 21 days.
There is currently an appeal in progress.
Samuel Fakorede (UK)
Complaint / Non-Compliance
The member failed to supply the minimum amount of information to AIA to facilitate a meaningful review of his practice which led to its cancellation. This contravenes Public Practice Regulations 12.1 and 12.2
Findings
After careful consideration of all the information presented to it, in accordance with its remit under Bye-Law 10.1 (f) of the AIA Constitution the Committee found Allegation 1 to be proven
Order
The member is to undergo an enforcement onsite monitoring review of his practice which must be arranged within six weeks. AIA compliance team will contact you to make the necessary arrangements. If the member does not comply with the order he is to receive an additional fine of £2000 and be referred to the Disciplinary Committee.
Ibrahim Abubaker Mohamed (UK)
Complaint / Non-Compliance
1. Failure to provide the minimum amount of information to facilitate a practice monitoring review resulting in its cancellation. This contravenes Public Practice Regulations 12.1 and 12.2.
2. The above review was part of a disciplinary order issued by the Practice Compliance Committee of 6 June 2023 requiring a monitoring review of your practice at a cost of £250. You are therefore also liable to disciplinary action as per AIA Regulations Complaints and Appeals Regulation 3.1(f)
Findings
After careful consideration of all the information presented to it, in accordance with its remit under Bye-Law 10.1 (f) of the AIA Constitution the Committee found both allegations proven.
Order
Therefore, pursuant to Bye-Law 10.1(f), the Committee suspended the member’s practising certificate with immediate effect. The member was fined £3000 payable within 21 days and referred to the AIA Disciplinary Committee with a recommendation for exclusion.
Angela Ene Adamopoulos (UK)
Complaint / Non-Compliance
1. Failure to submit a Firmwide Risk assessment which contravenes MLR2017 regulation 18(6) and AIA Public Practice Regulation 12.1
2. Failure to submit a basic Disclosure and Barring Service certificate which contravenes MLR2017 Regulation 26(1) and Public Practice Regulation 12.1
Findings
After careful consideration of all the information presented to it, in accordance with its remit under Bye-Law 10.1 (f) of the AIA Constitution the Committee found:
Allegation 1 to be withdrawn as the Firmwide Risk Assessment was received prior to the Committee meeting of 30 July 2024. Allegation 2 proven
Order
Providing AIA receive a copy of the Disclosure and Barring Service Certificate within 21 days no further action is to be taken. Should the certificate not be received the member is to be re-referred to the Practice Compliance Committee.
Commensurate with the mandatory status of the requested documents the Committee imposed a £250 fine payable within 21 days.
Nisar Ahmad Farooq Raja (UK)
Complaint / Non-compliance
Non submission of a Firmwide Risk Assessment for his two practices contravening Public Practice Regulation 12.1 and MLR2017 Regulation 18(6)
Findings
The committee was informed that you had submitted both of the requested Firmwide Risk Assessments to AIA on 30 July 2024 consequently the allegation was withdrawn.
Order
Commensurate with the mandatory status of the requested documents the Committee imposed a £250 fine payable within 21 days of the date of this notice.
Francesco Colcerasa (UK)
Complaint / Non-compliance
1. Identification of discrepancies between the address of the practice on Companies House and the address provided to AIA.
2. Identification of discrepancies between addresses on recently submitted DBS certificates and the address provided to AIA. AIA has not been informed of any changes to the details for the practice. Consequently, the member is in breach of AIA Membership Regulation 20.2 and Public Practice Regulation 12.1
Findings
After careful consideration of all the information presented to it, in accordance with its remit under Bye-Law 10.1 (f) of the AIA Constitution the Committee found both allegations proven.
Order
The member’s Practising Certificate is suspended pending receipt by AIA of information addressing this issue
The member is to receive a fine of £2000 payable within 21 days, commensurate with the serious nature of the regulatory breach.
Continued noncompliance by the member will result in referral to the Disciplinary Committee
15 May 2024 Practice Compliance Committee Outcomes
Dr Muhammed Farooq Khan (UK)
Complaint / Non-Compliance
Following the receipt of intelligence from an external source it was alleged that the member had provided misleading information to AIA when renewing his annual AIA Practising Certificate.
This contravenes Public Practice Regulation 6.4(f)
Findings
Considering the information provided to it the committee concluded that the case was proven.
Order
The member is to receive a severe reprimand and fine of £2000 for breach of Public Practice Regulation 6.4(f)
His Practising Certificate is to be temporarily suspended pending further investigations by AIA.
Mrs Yan Yang (UK)
Complaint / Non-Compliance
Failure to submit mandatory documents requested by AIA following a basic online review of the practice documents and failure to supply AIA with a Firmwide Risk Assessment
Findings
The case was proven. The member is in breach of Public Practice Regulation 12
Additional aggravating factors concerning the provision of Trust and Company Services by the practice and the length of time afforded to the member to facilitate regulatory compliance were also considered when issuing the order.
Order
No additional fines were to be levied.
The member is to undergo an enforcement onsite monitoring review as soon as possible.
The member’s practising certificate is to be suspended pending the outcome of the review and elevation of the member’s level of compliance.
Mr Steven Hall (UK)
Complaint / Non-Compliance
External intelligence received notifying AIA of Mr Hall’s exclusion from another Professional Body Supervisor. This contravenes AIA Membership regulation 10.2(b) and Public Practice Regulation 6.4. It is alleged that this information undermines Mr Hall’s fit and proper status and his eligibility for AIA membership and Practising Certificate.
Findings
The committee considered the information provided which included the formal exclusion order issued by the Professional Body Supervisor and the statement provided by Mr Hall.
The committee found the member to be in breach of Membership Regulation 10.2(b) and Public Practice Regulation 6.4
Mr Hall no longer meets AIA criteria of fit and proper person.
Order
The case has been referred to the Disciplinary Committee with the following recommendations.
The member is to be fined £3000 and excluded from AIA membership.
07 February 2024 Practice Compliance Committee Outcomes
Ismail Ravat
Complaint / Non-Compliance
The member referred to the committee for breach of Membership Regulation 20.1 Requirement to Provide an Annual Return for non-renewal of AIA Practising Certificate for 2023/2024.
Findings
The member is in breach of Membership Regulation 20.1 Requirement to Provide an Annual Return for non-renewal of AIA Practising Certificate for 2023/2024
Order
The member is to pay £500 fixed penalty fine and given 28 days to complete his renewal or be referred to the Disciplinary Committee.
Daniel Mason (UK)
Complaint/ Non-Compliance
The member was referred to the committee for breach of Membership Regulation 20.1 Requirement to provide an Annual return for non-renewal of his AIA Practising Certificate for 2023/2024
The issue preventing the renewal being evidence of his completion of 20 verifiable units of CPD this is breach of Continuing Professional Development Regulation 3.5
Findings
The Committee was notified of the recent correspondence from the member in which he claimed to have submitted the requested documents in December 2023.
Order
The committee requested that AIA investigate this claim and made a provisional ruling to be applied if evidence of submission was not found. The provisional ruling was £500 fine and immediate referral to the AIA Disciplinary Committee
David Pickin (UK)
Complaint/Non-compliance
The member referred to the committee for breach of Membership Regulation 20.1 Requirement to Provide an Annual Return for non-renewal of AIA Practising Certificate for 2023/2024
Findings
Additional information provided by Mr Pickin regarding ongoing health issues and IT systems issues were considered by the committee. The committee accepted the explanation provided by the member.
Order
No further action to be taken.
Abiodun Olugboji (UK)
Complaint / Non-Compliance
The member failed to undertake appropriate client due diligence as specified in MLR27/28
The member failed to respond to AIA’s request for a Disclosure and Barring Service and Firmwide Risk Assessment.
The member did not immediately inform AIA of his involvement in a Law Enforcement Agency investigation.
The member did not provide information requested by AIA on 24 November 2023 to allow AIA to conclude the matter, namely information on how the clients of the practice have been managed during the period the Practising Certificate was suspended and for failing to provide AIA with a formal solicitor’s letter summarising the current status of the investigation.
Findings
The member is in breach of AIA Public Practice Regulation 9.3, Public Practice Regulation 19.5 and MLR 27 and 28.
Order
The Practising certificate for this member is to be withdrawn immediately.
The member is to receive a £2000 fine and referred to the Disciplinary Committee.
Andrew Onyemachi Uche (UK)
Complaint/ Non-Compliance
Breach of Membership Regulation 20.1 Requirement to provide an annual return – for failure to renew your membership and AIA Practising Certificate
Findings
The member is in breach of Membership Regulation 20.1 Requirement to Provide an Annual Return for non-renewal of AIA Practising Certificate for 2023/2024
Order
The member is to pay £500 fixed penalty fine and given 28 days to complete his renewal or be referred to the Disciplinary Committee.
Richard Otoo (UK)
Complaint/ Non-Compliance
Breach of Membership Regulation 20.1 Requirement to provide an annual return – for failure to renew your membership and AIA Practising Certificate.
Following five reminder Mr Otoo failed to communicate with AIA
Findings
The member is in breach of Membership Regulation 20.1 Requirement to Provide an Annual Return for non-renewal of AIA Practising Certificate for 2023/2024
Order
The member is to pay £500 fixed penalty fine and an additional fine of £1000.
He is given 28 days to complete his renewal or be referred to the Disciplinary Committee.
Alistair Conway (ROI)
Complaint / Non compliance
Breach of Membership Regulation 20.1 Requirement to provide an annual return – for failure to renew your membership and AIA Practising Certificate.
Findings
The member is in breach of AIA Membership regulation 20.1 however AIA is to ensure there are no additional mitigating factors prior to referral to the Disciplinary Committee
Order
The member is to pay £500 fixed penalty fine and given 28 days to complete his renewal or be referred to the Disciplinary Committee.
13 December 2023 Disciplinary Committee Outcomes
Mr Pavlos Zacos (UK)
Complaint / Non-Compliance
Failure to comply with an order issued by AIA Practice Compliance Committee and refusing to engage with AIA regarding the provision of a Firmwide Risk Assessment.
The continued refusal to engage with AIA regarding regulatory non-compliance is fundamentally incompatible with being a Practising Member of the AIA.
Findings
The case was proven
Order
The member is to be excluded from AIA membership with immediate effect upon closure of the appeal period 8 January 2024
Expiry Date
12/12/2023
Asmat Ullah Ishaq (UK)
Complaint /Non-Compliance
Mr Ishaq was re-referred to the Practice Compliance Committee of 6 June 2023 following a lengthy period in the Disciplinary Process and remains non-compliant with the ruling of this committee.
Following substantial correspondence between AIA and Mr Ishaq he remains non complaint with UK regulations and AIA Practising regulations and has not complied with an order of AIA Practice Compliance Committee
Findings
The case against Mr Ishaq was proven
Order
The member is to be excluded from AIA membership with immediate effect upon closure of the appeal period 8 January 2024
Appeal
The member appealed the decision. Appeal dismissed (10 April) by committee and member excluded with immediate effect.
Expiry Date
10/04/2031
06 July 2023 Disciplinary Committee Outcomes
Dr Baba Habu (UK)
Complaint / Non-Compliance
During an onsite monitoring visit to the Member’s Practice a significant level of regulatory non-compliance was identified by AIA’s Reviewer and during the review the member expressed a reluctance to acknowledge his obligations under current Money Laundering Regulations.
Following the review, the member was instructed to undertake the necessary actions to rectify the regulatory non-compliance within a specified period. The member failed to undertake the required actions within the time specified.
Findings
The consistency and level of regulatory non-compliance identified during and following the monitoring review, was incompatible with membership of a Professional Accountancy Body.
There is no case for continuing Dr Habu’s membership of AIA.
Order
The member is to be excluded from AIA membership with immediate effect upon closure of the appeal period on 4 August 2023.
Expiry Date
04/08/2030
Dr Busayo John Ajayi
Complaint / Non-Compliance
Dr Ajayi did not renew his 2022/2023 Practising Certificate and did not notify AIA of his intent not to renew upon receipt of the initial renewal notice issued by AIA.
He also failed to pay fees pertaining to the 2022/2023 period and disciplinary fines to the sum of £1360.00
Findings
Dr Ajayi is in breach of Public Practice Regulations 4.1(a), 5.2, 5.3, and 12.1 and Byelaw 8
Order
The member was required to pay the £1,360.00 outstanding on his account within 28 days of the date of the notification letter.
If payment of the outstanding balance was received Dr Ajayi would be permitted to remain a Fellow Member of the Association on the condition he does not engage in public practice.
If the fine is not settled within the period specified, the member is to be excluded from membership effective immediately following closure of the Appeals period.
Payment was not received and Dr Ajayi was excluded from membership of the Association effective from 4 August 2023.
Expiry Date
04/08/2030
Arthur Obinna Ngoka (UK)
Complaint / Non-compliance
Mr Ngoka did not address the outstanding non-compliant issues preventing the issue of his 2022/2023 Practising Certificate. He failed to settle the Disciplinary Fines on his account and did not cooperate with AIA with regard to undertaking a monitoring review of his practice.
Findings
The member has a history of persistent regulatory non-compliance and remains in breach of Public Practice Regulations 4.1(a), 5.2, 5.3 & 12
The Committee found that there was no case for Mr Ngoka’s continued membership of AIA
Order
Mr Ngoka is required to pay the outstanding balance on his account plus an additional fine of £1000 imposed by this Committee.
The member is to be excluded from AIA membership with immediate effect upon closure of the appeal period on 4 August 2023.
No payment was received and Mr Ngoka was excluded from membership of AIA effective from 4 August 2023
Expiry Date
04/08/2030
Imran Khakwani (UK)
Complaint / Non compliance
Breach of the agreement between Mr Khakwani and AIA dated 15 September 2022. The agreement was created to assist Mr Khakwani to achieve and maintain regulatory compliance and facilitate payment of his outstanding Disciplinary fine.
Findings
The evidence provided shows that the member has broken the agreement between himself and AIA.
Order
The member is to settle the outstanding fine in full and submit the documents required to facilitate a monitoring review of his practice within 28 days of the date of the notice. The member failed to comply with this ruling and was excluded from membership on 4 August 2023.
Expiry Date
04/08/2030
Michael French (UK)
Complaint /Non Compliance
Mr French did not supply the required documents to facilitate the renewal of his AIA Practising Certificate for 2022/2023 or meet CPD requirements for AIA Members in Public Practice and failed to cooperate fully with AIA’s Monitoring and Supervision process.
Mr French has not paid the outstanding Disciplinary fine on his account and demonstrated unprofessional behaviour in terms of his correspondence with AIA as evidenced in the content of his email communications.
Findings
Mr French remains in breach of Public Practice Regulations 4.1(a) 5.2, 5.3 and 12, and the sanctions for these regulatory breaches are to remain in place.
The member is also in breach of Byelaw 8 for failing to cooperate with AIA in Disciplinary Proceedings previously bought against him.
Order
The fine of £3000 imposed by the Practice Compliance Committee of 7 February 2023 must be paid within 28 days of the delivery of the Disciplinary Order.
For failing to cooperate with the Disciplinary Process and proportionate to the weight attributed by the Disciplinary Committee to the importance of upholding a standard of conduct and professional engagement incumbent with membership of a professional body, an additional £7,000 fine has been issued to Mr French.
Mr French is excluded from Membership of AIA effective from closure of the appeal window on 4 August 2023
Mr French appealed against the Order. The appeal was heard by the appropriate committee on 9 November 2023 and was rejected. The Disciplinary order stands effective from the date of the Appeal Hearing.
Expiry Date
09/11/2030
Anjum Sohail (UK)
Complaint / Non-compliance
Mr Sohail has not paid his annual subscription fee, renewed his Practising Certificate for 2022/2023, or responded to reminders, emails, and letters.
Findings
Mr Sohail remains in breach of Public Practice Regulations 4.1(a), 5.2,5.3, and 12.1 and Bye-Law 8
Order
Mr Sohail is to be given 28 days from the date of the notice letter to pay what is outstanding and complete the PC renewal or be excluded from AIA.
No further communication was received from the member, therefore Mr Sohail was excluded from AIA Membership effective 4 August 2023
Expiry Date
04/08/2030
Wahid Ali Bashir (UK)
Complaint / Non-compliance
Mr Bashir failed to renew his AIA Practising Certificate for 2022/2023 due to failure to provide evidence of the completion of the required CPD units and failure to provide a copy of his current Professional Indemnity insurance.
He also failed to settle the £2000 Disciplinary fine on his account.
Findings
Mr Bashir is in breach of Public Practice Regulations 4.1(a) 5.2, 5.3 and 12.1 and Bye-Law 8
Order
Mr Bashir is required to pay the outstanding balance on his account and provide evidence of the completion of the requisite number of CPD units to allow the issue of his 2022/2023 Practising Certificate and complete the renewal of his 2023/2024 Practising Certificate within three months of the date of the Disciplinary Order.
Failure to comply with all of the above requirements within the time specified will result in immediate exclusion from membership of the Association. Mr Bashir did not comply with the requirements of the Disciplinary Committee and was therefore excluded from Membership effective from the date of notice 14 November 2023.
Expiry Date
14/11/2030
David Knobel
Complaint / Non-Compliance
Mr Knobel was referred to the Disciplinary Committee for non-completion of the Practicing Certificate renewal document for 2022/2023, failure to submit a copy of the Practice letterhead and non-payment of the £2,500 Disciplinary fine imposed by the Practice Compliance Committee. He was therefore in breach of Public Practice Regulations 4.1(a) 5.2, 5.3 and 12.1 and Bye Law 8
Findings
Once notified of his referral the member cooperated fully with AIA. The committee noted that at the time of hearing the member was fully compliant with one exception and that his Disciplinary fine had been settled.
Order
No further sanctions are imposed. Mr Knobel is required to address the one remaining non-compliant issue within 28 days of the date of notice or be re-referred to the Disciplinary Committee.
Mr Knobel submitted his Firmwide Risk Assessment and no further action is required.
Abul Kalam Mohammed Nurul Amin
Complaint / Non-Compliance
The member failed to supply sufficient information to facilitate a monitoring review of his practice or pay the outstanding disciplinary fine on his account. His earlier appeal against the Practice Compliance Committee ruling and subsequent disciplinary fine was rejected.
Findings
Following a prolonged period of non-compliance and continued offers of assistance from AIA the member continues to be in breach of Public Practice Regulations 12.1 and 12.2 and Bye-Law 8.
Order
The circumstances suggest that it is not appropriate to impose further financial sanctions.
Mr Amin was to be excluded from AIA membership effective immediately following the closure of the appeal window.
No further communication was received from the member, therefore Mr Amin was excluded from AIA Membership effective 4 August 2023
Expiry Date
04/08/2030
28 February 2023 Disciplinary Committee Outcomes
Benito La Rosa
Complaint / Non-Compliance
Failure to complete an annual membership and firm practice return within the period specified by AIA.
Findings
The member was found to be in breach of Public Practice Regulations 12.1 and 12.2
Order
The outstanding requirement imposed by the Practice Compliance Committee at its meeting of 30 May 2022, that the firm be subject to an Enforcement Visit (the costs of which should be payable by the member) should be met within six months of the date of this notification.
Following the successful conclusion of this Enforcement Visit, whereby the firm is judged compliant with regulatory requirements, the disciplinary process will officially be concluded.
Should the Enforcement Visit not take place, or the firm remains non-compliant, the case will be referred to the Disciplinary Committee which reserves the right to impose further sanctions.
Olufemi Bolarinwa Fayomi
Complaint / Non-compliance
Failure to complete a Practice Monitoring Review
Findings
The member was found to be in breach of Public Practice Regulations 12.1 and 12.2
Order
Resignation submitted by the member is accepted on the grounds that the member is no longer offering accountancy services or engaged in Public Practice.
The outstanding disciplinary fine will be held and reviewed should the member re-apply for AIA membership and a practising certificate in the future.
28 November 2023 Practice Compliance Committee Outcomes
Jessica Brooks
Complaint / Non-Compliance
Failure to address the non-compliant issues identified in the Findings report issues following an onsite enforcement monitoring review and failure to return a signed copy of that report as requested.
Failure to settle outstanding Disciplinary fines to the sum of £300.
Non submission of Professional Indemnity Insurance certificate required to facilitate the issue of an Practising Certificate for 2023/2024.
Findings
Giving due consideration to the information presented to it the committee found Mrs Brooks to be in breach of AIA Public Practice Regulations 12.1 and 12.2.
Order
£500 Disciplinary fine is to be applied, to be reduced to £250 if compliance with all outstanding issues is evidenced within 28 days.
As this is the second consecutive referral to this committee failure to meet the above conditions will result in the member’s immediate referral to the next AIA Disciplinary Committee.
Rishabh Jain
Complaint / Non-Compliance
Failure to provide AIA with information requested following a monitoring review of the practice within the period specified.
Findings
Giving due consideration to the information presented to it the committee found Mr Jain to be in breach of AIA Public Practice Regulations 12.1 and 12.2 and 4.1(a).
Order
The member has 28 days within which to address the issues outstanding and renew his Practising Certificate.
Failure to comply will result in a fine of £1,000 and immediate referral to the Disciplinary Committee.
Syed Imtiaz Ahmed
Complaint / Non-Compliance
Non payment of the costs of an enforcement review of the member’s practice which was part of the order made by the Practice Compliance Committee of 6 June 2023.
Findings
Giving due consideration to the information presented to it the committee found Mr Ahmed to be in breach of AIA Regulations Complaints, Disciplinary & Appeals Regulation 3.1 (g).
Order
The matter is to be referred to the next Disciplinary Committee with recommendations for further action.
Rizwanul Haq
Complaint / Non-Compliance
Serious regulatory non-compliance identified during an onsite monitoring review of the member’s practice and failure of the member to achieve an acceptable level of compliance within the period specified by AIA.
Findings
Giving due consideration to the information presented to it the committee found Mr Haq to be in breach of Bye-Laws 3b and 3c and Public Practice Regulation 12.1.
Order
The case is referred to the Disciplinary Committee with recommendations.
Abdul Rashid
Complaint / Non-Compliance
Failure to renew AIA Membership for 2023/2024 without notice.
Failure to renew AIA Practising certificate for 2023/2024.
Findings
Giving due consideration to the information presented to it the committee found Mr Rashid to be in breach of Public Practice Regulation 3.5 and 12.1 and Bye-law 5.2.
Order
Member to receive a reprimand and given 28 days to fully comply and renew his Membership and Practising Certificate.
Failure to comply fully and within the period specified will lead to Mr Rashid’s referral to the AIA Disciplinary Committee.
07 February 2023 Practice Compliance Committee Outcomes
Mr Busayo John Ajayi
Complaint / Non-Compliance
Failure to complete an annual membership and firm practice return within the period specified by AIA.
Failure to fulfil AIA CPD requirements.
Findings
The member was found to be in breach of Public Practice Regulations 4.1(a), 5.2, 5.3, and 12.1
Order
The member to receive a reprimand and fined £1000 payable within 28 days.
The member to undertake the actions required to successfully achieve regulatory compliance within 28 days.
Muhammad Zamir
Complaint / Non-Compliance
Failure to complete an annual membership and firm practice return within the period specified by AIA.
Findings
The member was found to be in breach of Public Practice Regulations 4.1(a), 5.2, 5.3, and 12.1
Order
The member to receive a reprimand and fined £2000 payable within 28 days.
The member to undertake the actions required to successfully achieve regulatory compliance within 28 days.
Arthur Obinna Ngoka
Complaint / Non-Compliance
Failure to complete an annual membership and firm practice return within the period specified by AIA.
Failure to cooperate with AIA in the arranging of a monitoring review.
Findings
Member is in breach of Public Practice Regulation 4.1(a), 5.2, 5.3, 12.1 and 12.2
Order
The member to receive a reprimand and fined £3000 payable within 28 days.
The member to undertake the actions required to successfully achieve regulatory compliance within 28 days.
Michael French
Complaint / Non-Compliance
Failure to complete an annual membership and firm practice return within the period specified by AIA.
Failure to cooperate with AIA in the arranging of a monitoring review.
Findings
The member is in breach of Public Practice Regulations 4.1(a), 5.2, 5.3, and 12.1
Order
The member to receive a reprimand and fined £3000 payable within 28 days.
The member to undertake the actions required to successfully achieve regulatory compliance within 28 days.
Qadeer Hussain
Complaint / Non-Compliance
Failure to complete an annual membership and firm practice return within the period specified by AIA.
Findings
The member is in breach of Public Practice Regulations 4.1(a), 5.2, 5.3, and 12.1
Order
The member to receive a reprimand and fined £750 payable within 28 days.
The member to undertake the actions required to successfully achieve regulatory compliance within 28 days.
Anjum Sohail
Complaint / Non-Compliance
Failure to complete an annual membership and firm practice return within the period specified by AIA.
Findings
The member is in breach of Public Practice Regulations 4.1(a), 5.2, 5.3, and 12.1
Order
The member to receive a reprimand and fined £500 payable within 28 days.
The member to undertake the actions required to successfully achieve regulatory compliance within 28 days.
Atif Zia
Complaint / Non-Compliance
Failure to certify CPD compliance or provide evidence of such compliance.
Findings
The member is in breach of Public Practice Regulations 4.1(a) and CPD regulations 3,4, and 5
Order
The member to receive a reprimand and fined £500 payable within 28 days.
The member to undertake the actions required to successfully achieve regulatory compliance within 28 days.
Kevin Caldicott
Complaint / Non-Compliance
Continued engagement in Public Practice without holding a valid Practising Certificate.
Findings
The member is in breach of Public Practice Regulation 4.1(a)
Order
The member to receive a severe reprimand and fined £1,500 payable within 28 days.
The member to undertake the actions required to successfully achieve regulatory compliance within 28 days.
Rizwan Azed
Complaint / Non-Compliance
Failure to complete an annual membership and firm practice return within the period specified by AIA.
Failure to settle the fixed penalty late renewal fine of £50.
Findings
The member is in breach of Public Practice Regulations 4.1(a), 5.2, 5.3, 12.1 and regulations Complaints, Disciplinary and Appeals Regulation 3.1(f)
Order
The member to receive a severe reprimand and fined £3000 payable within 28 days.
The member to undertake the actions required to successfully achieve regulatory compliance within 28 days.
Wajid Ali Bashir
Complaint / Non-Compliance
Failure to complete an annual membership and firm practice return within the period specified by AIA.
Failure to certify CPD compliance or provide evidence of such compliance.
Failure to provide a current Professional Indemnity Insurance Certificate.
Findings
The member is in breach of Public Practice Regulations 4.1(a) and CPD regulations 3,4, and 13.5
Order
The member to receive a reprimand and fined £2000 payable within 28 days.
The member to undertake the actions required to successfully achieve regulatory compliance within 28 days.
Busayo Adekunle Onifade
Complaint / Non-Compliance
Failure to complete an annual membership and firm practice return within the period specified by AIA.
Findings
The member is in breach of Public Practice Regulations 4.1(a), 5.2, 5.3, and 12.1
Order
The member to receive a reprimand and fined £3000 payable within 28 days.
The member to undertake the actions required to successfully achieve regulatory compliance within 28 days.
Yan Yang
Complaint / Non-Compliance
Failure to complete an annual membership and firm practice return within the period specified by AIA.
Findings
The member is in breach of Public Practice Regulations 4.1(a), 5.2, 5.3, and 12.1
Order
The member to be fined £500 if regulatory compliance is not achieved within 28 days.
Raymond Ward
Complaint / Non-Compliance
Failure to complete an annual membership and firm practice return within the period specified by AIA.
Findings
The member is in breach of Public Practice Regulations 4.1(a), and 12.1
Order
The member to be fined £500 and referred to the Disciplinary Committee if regulatory compliance is not achieved within 28 days.
David Knobel
Complaint / Non-Compliance
Failure to complete an annual membership and firm practice return within the period specified by AIA.
Findings
The member is in breach of Public Practice Regulations 4.1(a), 5.2, 5.3, and 12.1
Order
The member to receive a reprimand and fined £2500 payable within 28 days.
The member to undertake the actions required to successfully achieve regulatory compliance within 28 days.
Abul Kalam Mohammed Nurul Amin
Complaint / Non-Compliance
Failure to complete an annual membership and firm practice return within the period specified by AIA.
Failure to cooperate with arranging a monitoring review.
Failure to cooperate with the Disciplinary Process.
Findings
The member is in breach of Public Practice Regulations 4.1(a), 5.2, 5.3, and 12.1 and 3.1
Order
The member is referred to the AIA Disciplinary Committee.
Brian Martin John Gunning
Complaint / Non-Compliance
Failure to certify CPD Compliance or provide evidence of such compliance Failure to cooperate with arranging a monitoring review.
Findings
The member is in breach of Continuing Professional Development Regulations 3,4 and 5
Order
The member is to receive a reprimand and reminder of the CPD resources available on the AIA website.
Paul Gahan
Complaint / Non-Compliance
Failure to complete an annual membership and firm practice return within the period specified by AIA.
Findings
The member is in breach of Public Practice Regulations 4.1(a), 5.2, 5.3, and 12.1
Order
The member to be pay the outstanding Disciplinary fine of £250 payable within 28 days.
The member to undertake the actions required to successfully achieve regulatory compliance within 14 days.
06 June 2023 Disciplinary Committee Outcomes
John Julian Watkins
Complaint / Non-Compliance
Failure to complete an annual membership and firm practice return within the period specified by AIA.
Findings
The member is in breach of Public Practice Regulation 12.1
Order
The member to undertake the actions required to successfully achieve regulatory compliance within 14 days.
Fawad Ibrahim Abubaker Mohamed
Complaint / Non-Compliance
Failure to cooperate with AIA in the monitoring of your practice.
Findings
The member is in breach of Public Practice Regulation 12.1
Order
Member to provide the information requested by AIA. Please submit within 14 days.
The member to cooperate with AIA in a monitoring review of your practice. The member to be charged a nominal fee for the review.
Jessica Brooks
Complaint / Non-Compliance
Failure to cooperate with AIA in the monitoring of your practice by not submitting a Firmwide Risk Assessment for AIA review.
Failure to notify AIA of the change of registered office address.
Findings
The member is in breach of Public Practice Regulation 12.1 and 8.1(b)
Order
Member to provide the information requested by AIA. Please submit within 14 days.
The member to cooperate with AIA in a monitoring review of the practice. The member to be charged a nominal fee for the review.
Member to submit a copy of the Firmwide risk assessment within 28 days.
Pavlos Zacos
Complaint / Non-Compliance
Failure to cooperate with AIA in the monitoring of your practice by not submitting a Firmwide Risk Assessment for AIA review.
Findings
The member is in breach of Public Practice Regulation 12.1
Order
The member to receive a reprimand and fine of £500 payable within 28 days.
The member to participate in an onsite monitoring review of his practice and is to be charged £450 payable upon completion of the review.
Member to submit a copy of the Firmwide risk assessment within 28 days.
Syed Ahmed
Complaint / Non-Compliance
Failure to cooperate with AIA in the monitoring of your practice by not submitting a Firmwide Risk Assessment for AIA review.
Findings
The member is in breach of Public Practice Regulation 12.1
Order
The member to receive a reprimand and fine of £500 payable within 28 days.
The member to participate in an onsite monitoring review of his practice and is to be charged.
£450 payable upon completion of the review.
Member to submit a copy of the Firmwide risk assessment within 28 days.
Abiodun Olugboji
Complaint / Non-compliance
Failure to notify AIA of changes to of changes to his status as a fit and proper person or to the status of any partner, director, employee, or person providing service in respect of the practice; or to the circumstances of his practice which might affect his entitlement to undertake public practice and to act as an Independent Examiner
Findings
Member is in breach of Public Practice regulations8.1 (c) and 8.1(d)
Order
The member’s Practising Certificate is suspended pending the outcome of an ongoing investigation.
08 September 2022 Disciplinary Committee Outcomes
Mr Serhan Cinar
Complaint / Non-Compliance
Failure to supply sufficient information to facilitate a meaningful monitoring review within the period specified by AIA.
Failure to comply with the ruling of the Disciplinary Committee.
Findings
Member found to be in breach of AIA Public Practice Regulations 12.1 and 12.2 and Complaints, Disciplinary & Appeals Regulation 4.1.12.2.
Order
The member is excluded from AIA Membership effective from 9 September 2022.
Expiry Date
08/09/2029
Mr Gabriel Emiowele
Complaint / Non-Compliance
Failure to cooperate with arranging or following a monitoring visit.
Failure to cooperate with the Disciplinary Committee ruling of 30 May 2022
Failure to complete an annual membership and practice return.
Findings
Member in breach of Public Practice Regulations 12.1 and 12.2; Compliant, Disciplinary and Appeals Regulations 4.1 and Membership Regulation 20.1.
Order
The member is excluded from AIA Membership effective from 9 September 2022.
Expiry Date
08/09/2029
30 May 2022 Disciplinary Committee Outcomes
Mr Lawrence O Akinyemi (UK)
Complaint / Non-Compliance
Failure to submit a copy of recent Disclosure and Barring Service checks and outcomes and subsequent non-renewal of the AIA Practising Certificate.
Findings
The member is in breach of Public Practice Regulations 12.1 and 12.2
Order
The member is excluded from AIA Membership effective from 28/06/2022
Expiry Date
28/06/2029
Mr Rafiu Akanni Imoru (UK)
Complaint / Non-Compliance
Failure to renew the Practising Certificate for 2021/2022
Non payment of Fellow subscription and Practising Certificate renewal fee for the period 2021/2022
Failure to facilitate a desktop monitoring review of your practice
Findings
Member in breach of Public Practice Regulations 12.1 and 12.2
Order
The member is excluded from AIA Membership effective from 28 June 2022.
Expiry Date
28/06/2029
01 September 2021 Disciplinary Committee Outcomes
Mr Derek Martin Williamson (UK)
Complaint / Non-Compliance
Following a law enforcement referral the Association received complaints from a number of members of the public against the Member relating to the loss of investment funds via a third party for which the Member had initially been appointed as a consolidator.
Findings
That the Member had breached Regulation 15.3 of the AIA Public Practice Regulations in the AIA Constitution and the UK Money Laundering Regulations and had failed to demonstrate that he had undertaken adequate due diligence on the client in question or the complainants and had offered no evidence to the contrary.
Order
That the Member be immediately excluded from membership of the Association and fined the amount of £7,500.
Expiry Date
31/08/2028
21 July 2021 Disciplinary Committee Outcomes
Mr Seth Abedu Okai (UK)
Complaint / Non-Compliance
A referral was received from the Practice Compliance Committee on 2 March 2021 under AIA Bye-Law 8.1(c) for breach of AIA Bye-Laws 5.1, 5.2 and 5.4 which outline member obligations in relation to subscription payments and Annual Returns and 19.1 Disclosure of Information (preventing AIA from fulfilling its statutory obligations under current UK Money Laundering Regulations.
Findings
That the Member had breached Bye-Laws 5.1, 5.2 and 5.4 and 19.1 in failing to complete the renewal of his Practising Certificate within the timeframe set by AIA whilst continuing to practice.
Order
That the Member be given until 31 August 2021 to complete the outstanding Practising Certificate renewal and if any part of the process remained outstanding on 31 August 2021 the Member would be excluded from membership with immediate effect. The Member was excluded following failure to comply with the Order in the timeframe set.
Expiry Date
21/07/2028
Mr Mohammad Nazeem Busawon (UK)
Complaint / Non-Compliance
Referral from the Practice Compliance Committee on 10 June 2021 under AIA Bye-Law 8.1(c) and 8.1(a) for breach of Public Practice Regulations 12.1 and 12.2 for failing to co-operate with a Desktop Monitoring Review and providing the requested information and Public Practice Regulation 19.1 for not providing AIA with information it requires to fulfil its regulatory obligations.
Findings
That the Member had previously been engaging in public practice without a Practising Certificate until it was brought to the attention of AIA. That the Member had subsequently been fined and was granted a Practising Certificate on the understanding that he undergoes a Desktop Monitoring Review to ensure all the correct policies and processes were in place. That the Member repeatedly failed to submit the information to AIA despite repeated requests and a subsequent referral to and Consent Order from the Practice Compliance Committee.
Order
That the Member be fined an additional £200, to be added to the existing £200 fine imposed by the Practice Compliance Committee, and he be given a period to bring his account up to date. That failure to comply would result in exclusion from membership. The Member was excluded from membership on 7 September 2021.
Expiry Date
21/07/2028
Mr Godfred K Frimpong (UK)
Complaint / Non-Compliance
Referral from the Practice Compliance Committee on 2 March 2021 under Bye-Law 8.1(c) for breach of Public Practice Regulations 4.1 (a) 4.1 (b) -Practising without a valid Practising certificate and Regulation 12.1 – failing to supply requested information and 19.1 Disclosure of Information (preventing AIA fulfilling its obligations under current UK Money Laundering regulations).
Findings
That the Member had failed to complete the Practising Certificate renewal form and provide supporting documents by the deadlines set by both the AIA Compliance Team and the Practice Compliance Committee despite repeated communications from AIA.
Order
That the Member complete the renewal of his 2020/2021 Practising certificate by an agreed deadline and be fined an additional amount of £200 making the total fine £400 payable by 31 August 2021. That failure to comply with the conditions by the date specified will result in exclusion from membership. The Member failed to comply and was excluded from membership on 7 September 2021.
Expiry Date
21/07/2028
Mr Amit Mohan (UK)
Complaint / Non-Compliance
Referral from the Practice Compliance Committee on 2 March 2021 under Bye-Law 8.1(c) for breach of Bye-Law 5.8 relating to annual subscriptions and payments, Membership Regulation 22 regarding requirements to provide annual returns and Public Practice Regulation 3.5 Authorisation to Practice.
Findings
That the Member had failed to renew both his Membership and Practising Certificate despite reminders from AIA and had failed to respond to correspondence regarding his intentions.
Order
That the Member be given until 31 August 2021 to bring his account up to date and that failure to comply would result in exclusion from membership. The Member failed to comply and was excluded from membership on 7 September 2021.
Expiry Date
21/07/2028
Mr John Finbarr Gahan (ROI)
Complaint / Non-Compliance
Referral from the Practice Compliance Committee on 2 March 2021 under Bye-Law 8.1(c) for breach of Bye-Law 5.8 Annual subscriptions and Payment, Membership Regulation 22.1 Requirement to Provide Annual Return, and Public Practice Regulation 19 Disclosure of Information.
Findings
That the Member had submitted his Membership subscription fee, Practising Certificate renewal fee, or Annual Return. That the Member had subsequently resigned his membership following the start of the disciplinary process.
Order
That the Member settles the outstanding balance of £585 on his account. That the Member be fined an additional £200 and that the Member be excluded from AIA Membership.
Expiry Date
21/07/2028
Mr Raheel Anjum (UK)
Complaint / Non-Compliance
Referral from the Practice Compliance Appeal Committee on 14 June 2021 following a rejection of his appeal. Referred under Bye-Law 8.1(c) for breach of Bye-Law 5.2 Annual subscriptions and payments, Membership Regulation 22.1 Requirement to Provide Annual Return, Public Practice Regulation 12.1 and 12.2 Monitoring and Public Practice Regulation 19.1 Disclosure of Information.
Findings
That the Member did not supply the requisite firm wide risk assessment or Disclosure and Barring Service Certificates contrary to Regulation 26 of the UK Money Laundering Regulations 2017. That the Member did not respond to requests to participate in AIA’s monitoring review made in September 2020.
Order
That the Member be fined £200 and that he pays all outstanding monies on his account by 31 August 2021. That the Member be excluded from membership.
Expiry Date
21/07/2028
16 April 2021 Disciplinary Committee Outcomes
Mr Rhodri-Jones Morris (UK)
Complaint / Non-Compliance
Referral following receipt of information from the Member regarding a breach of Bye-Laws 8.1(i). That on 24 February 2021 the Member was convicted of an offence and received a fine under section 4(1) of the Misuse of Drugs Act 1971.
Findings
That following his conviction the Member had been deemed to have brought the accountancy profession into disrepute under Bye-Law 8(k).
Order
That finding the offence did not meet the threshold of a Schedule 3 MLR 2017 offence the Member be fined £200). That the Member be required to undergo a further Monitoring Review within the next 12 months and meet the cost of this review. That should issues of a similar nature come to the attention of the AIA at any time that the Member be automatically excluded from membership and his Practising Certificate revoked.
Expiry Date
15/04/2028
Mr Nicholas Metallinos (UK)
Complaint / Non-Compliance
Referral under Bye-Law 8.1(c) from the Practice Compliance Appeal Committee on 12 January 2021 following rejection of his appeal against the outcome of the Practice Compliance Committee on 26 February 2019 and his failure to meet the conditions specified by the Practice Compliance Appeal Committee within the time allocated. Referred for breaches of Public Practice Regulations 12.1 and 4.1(a).
Findings
That the Member had failed to renew his practising certificate and had made no effort to bring his account up to date and had therefore breached Public Practice Regulations 12.1 and 4.1(a).
Order
That the Member be required to pay the amount of £955 outstanding on his account. That the Member be excluded from membership.
Expiry Date
15/04/2028
28 August 2020 Disciplinary Committee Outcomes
Mr Maulik Girishandra Patel (UK)
Complaint / Non Compliance
Referral from the Practice Compliance Committee on 31 October 2019 for regulatory non-compliance following a Quality Assurance Monitoring Visit on 19 March 2019.
Findings
That the Member had acted on all 15 issues for which he had been referred and was now mostly compliant with the regulations, however evidence relating to some compliance issues was lacking and that compliance had been delayed due to obtaining an acceptable equivalent of the UK Disclosure and Barring Service checks for overseas BOOMs.
Order
That the Member should pay his outstanding subscription fee and that a further Quality Assurance review should be arranged at his own cost. Following the review if AIA was satisfied that the Member had achieved the requisite level of regulatory compliance that his Practising Certificate would be reinstated. If the Member did not agree with the proposed monitoring or if all conditions were not met the Member would be excluded from membership.
Expiry Date
19/08/2027
Mr Ayo O Oyebade (UK)
Complaint / Non Compliance
Referral from the Practice Compliance Committee under Bye-Law 10.1 (f)(vii) for the breach of Bye-Law 8.1(c) and Public Practice Regulations 12.1 and12.2 and the Money Laundering Regulations 2017, for regulatory non-compliance following a Quality Assurance Monitoring Visit.
Findings
That the Quality Assurance Monitoring Visit had highlighted a number of areas of non-compliance across a range of relevant Money Laundering Regulations. That the Member had made efforts to address the issues and meet the requirements.
Order
That the Member pay his membership subscription for 2020/2021. That he completes his 2020/2021 Practising Certificate renewal and settle the renewal fee. That the Member undergoes an AIA Desktop Monitoring Review on a date specified by AIA and thereafter work with AIA until achieving full compliance with UK regulatory requirements and AIA Public Practice Regulations. That he maintains compliance and completes all future renewals within the time specified by AIA. If at any point in the future the Member is found to be non-compliant with AIA regulations his Practising Certificate is to be withdrawn and he is to be automatically excluded from membership.
Expiry Date
19/08/2027
Mr Md. Abul Basher (UK)
Complaint / Non Compliance
Referral from the Practice Compliance Committee on 27 February 2020 under Bye-Law 8.1(c) for breach of Article 5.1 (payment of fees), Bye-Law 8.1(c) and Public Practice Regulations 12.1 and 12.2.
Findings
That the Member was consistently late in his dealings with AIA showing no respect for his governing body. That the Member had paid his outstanding membership subscription on 10 August 2020.
Order
That the Member settle £300 of outstanding Disciplinary fines to be received by AIA within 21 days. That he pays the annual subscription and Practising Certificate renewal fee for 2020/2021 and completes the renewal process. That the Member undergoes a Quality Assurance Desktop Monitoring Review and complies with the recommendations following this within a time frame specified by AIA. That any area of non-compliance identified from that point in will result in immediate exclusion.
Expiry Date
19/08/2027
Mr Christopher Samuel Hines Lawrence (UK)
Complaint / Non Compliance
Referral from the Practice Compliance Committee under Bye-Law 10.1 (f)(vii) for the breach of Bye-Law 8.1(c) and Public Practice Regulations 12.1 and12.2and the Money Laundering Regulations 2017. The Member had failed to comply with the findings of two Quality Assurance Monitoring Visits.
Findings
That the Member failed to understand the requirements and obligations of being an AIA Member in Practice. That the Member had undergone a Quality Assurance Monitoring Visit on 17 November 2017 which identified a number of areas of non-compliance and that these had still not been redressed by the second Monitoring Visit ordered by the Practice Compliance Committee, which took place on 26 June 2019, nor subsequently.
Order
That the Member pay the outstanding amount of £400 pertaining to the cost of the second monitoring visit to the practice and that the Member be excluded from membership.
Expiry Date
19/08/2027
Mr Ali Arif (UK)
Complaint / Non-Compliance
Referral from the Practice Compliance Committee under Bye-Law 10.1 (f)(vii) for the breach of Article 5.1, Bye-Law 8.1(c) and Public Practice Regulations 12.1 and 12.2 and the Money Laundering Regulations 2017 for the non-renewal of his Practising Certificate.
Findings
That although the Member had not provided the required documentation and payment to renew his practising certificate despite being given the opportunity to resubmit the documents and monies.
Order
That the Member be given 7 days to send in the necessary documents. Failure to comply would result in automatic exclusion. The Member was excluded from membership on 1 April 2021.
Expiry Date
19/08/2027
Mr Lee Taylor (UK)
Complaint / Non-Compliance
Referral from the Practice Compliance Committee under Bye-Law 10.1 (f)(vii) for the breach of Article 5.1, Bye-Law 8.1(c) and Public Practice Regulations 12.1 and12.2 and the Money Laundering Regulations 2017.
Findings
That the Member consistently did not respond to correspondence and reminders and had failed to renew his Practising Certificate.
Order
That the Member be asked to settle the outstanding balance of £630 on his account. That he be excluded from membership.
Expiry Date
19/08/2027
24 July 2019 Disciplinary Committee Outcomes
Mr Emmanuel Olufemi Johnson (UK)
Complaint / Non-Compliance
Referral from the Practice Compliance Appeal Committee on 8 February 2019 for breach of Public Practice Regulation 12.1(c)
Findings
That the Member was non-compliant with the Public Practice regulations had a long history of non-compliance which started prior to his health issues.
Order
That the Member be excluded from membership. That his outstanding fees of £1,295 to be written off on the grounds of his ill health.
Expiry Date
23/07/2026
Mr Arulkumaran Kandasamy (UK)
Complaint / Non-Compliance
Referral from the Practice Compliance Committee on 15 November 2018 for breach of Public Practice Regulation 12.1(c).
Findings
That the Member had a history of non-compliance. That whilst some documentation had been received, he did not appear to have Professional Indemnity Insurance (PII) or information regarding Continuing Professional Development (CPD) undertaken.
Order
That the Member pay the outstanding fee of £670. That he be fined £3,000 which will be reduced to £1,500 on receipt of a PII showing the previous year’s dates. That the Member be excluded from membership if the above amounts and documents are not received within 28 days. The Member failed to comply and was excluded from membership.
Expiry Date
23/07/2026
Mr Odeniyi Iyanda Oluborode (UK)
Complaint / Non-Compliance
Referral from the Practice Compliance Committee on 15 November 2018 for breach of Public Practice Regulation 12.1(c).
Findings
That the Member had a history of non-compliance and appeared to have no intention of continuing his membership of AIA.
Order
That the Member be required to pay the outstanding balance of £1,170. That he be fined £200. That the Member be excluded from membership if the above amounts were not received within 28 days. The Member failed to comply and was excluded from membership.
Expiry Date
23/07/2026
Mr Anthony Edward James Mills (UK)
Complaint / Non-Compliance
Referral from the Practice Compliance Committee on 15 November 2018 for breach of the public practice regulation 12.1(c).
Findings
That the Member had failed to renew his membership subscription and Practising Certificate. That although he had indicated that he wished to continue his membership, the payments and documents were not received.
Order
That the Member pay the outstanding balance of £485. That he be fined £200. That he submits his outstanding renewal documents for 2018/2019. That the Member be excluded from membership if the above amounts were not received within 28 days. The Member failed to comply and was excluded from membership.
Expiry Date
23/07/2026
Mr Patrick Davis O Nkwocha (UK)
Complaint / Non-Compliance
Referral from the Practice Compliance Committee on 15 November 2018 for breach of the public practice regulation 12.1(c).
Findings
That the Member also had a Practising Certificate and AML supervision with ACCA. That there was an amount of £275 outstanding relating to his practising certificate fee for 2017/18.
Order
That the Member be removed from the public practice register and not to be issued any further Practising Certificates. That he pay the outstanding fee of £275. That the Member be fined £125. That the Member be excluded from membership if the above amounts were not received within 28 days. The Member failed to comply and was excluded from membership.
Expiry Date
23/07/2026
24 March 2017 Disciplinary Committee Outcomes
Mr Aquil Shabbir Ahmed (UK)
Complaint / Non-Compliance
That following a criminal investigation by HM Revenue and Customs the Member been sentenced to 7 years 8 months imprisonment and disqualified from holding a directorship for 10 years.
Findings
That it was proven that the Member had breached Article 74(1)(a). That it was proven that the Member had breached Article 74(1)(i). That it was proven that the Member had breached Article 74(1)(j). That it was proven that the Member had breached Article 74(1)(m).
Order
That the Member should be permanently excluded from membership.
Mr Rizwanul Haq (UK)
Complaint / Non-Compliance
Referred from the Practice Compliance Committee on 9 September 2016 for breach of Article 74(1)(c) and Article 74(1)(f) for non-compliance and failure to respond to an Order.
Findings
That it was proven that the Member had breached Article 74(1)(c). That it was proven that the Member had breached Article 74(1)(f).
Order
That the Member be severely reprimanded. That he undergoes a Quality Assurance visit within six weeks. Failure to comply with either of these conditions would result in immediate exclusion from membership. The Member failed to comply and was excluded from membership.
Expiry Date
23/03/2024
