AIA Disciplinary Notices

Disciplinary Hearings - Date TBC

Due to Covid restrictions, disciplinary hearings are currently being held virtually. Members of the public wishing to attend should contact the Secretary of the Disciplinary Process for further details. 

Attend the Hearing

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

09 June 2015 Disciplinary Committee Outcomes

Ms Pan Wei Yi (People's Republic of China)

Complaint / Non-Compliance 

The Member’s employer claimed that she had falsified an AIA certificate in order to gain a work promotion.

Findings

That as the Member had been advised of the investigation and had not made any comment or forwarded any defence, that the evidence was one-sided and could not be verified. That the Member was in breach of Article 74(1)(j) and Code of Ethics 150.2.

Order

That the Member should be excluded from membership.

Expiry Date

08/06/2022

Ms Darlene Hart (UK)

Complaint / Non-Compliance

That the Member had made a series of gross professional errors on the Complainant’s account, some with serious consequences. That the Member made wholly unreasonable charges for their often flawed work. That the Member consistently failed to communicate with any acceptable level of response to questions, and correspondence was routinely left unanswered.

Findings

That the Member had not dealt with matters in a timely manner and that the correspondence from did not appear to show that this had happened. That the mistake found was a major error which should not have occurred and that the complaint was not dealt with in a timely manner by the Firm. That the Member had breached Article 74(1)(c) and Code of Ethics 130.1(b), 130.4, and 130.6.

Order

That the Member should receive a reprimand. That the Member be fined £500. That the Member be required to undertake recommended training prior to issue the of her next Practising Certificate.

Expiry Date

08/06/2022