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.
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.
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.
