David Ebert LLP

Allegation / charges

Authorisation of Individuals Regulations 2019, Breaches, Code of Conduct for Firms 2019, SRA Principles 2019

Codes & rules applied

• SRA Code of Conduct for Firms 2019
• SRA Principles 2019

Duties engaged

• AML and crime-prevention compliance
• File and record retention
• Firm governance, systems and compliance
• Orderly wind-down and contingency cover
• Supervise staff and delegated work

Documents

• 📄 Decision / judgment 740 KB (archived)