Disciplinary outcome: Dawn Jinks

1. She failed to have in place adequate Anti-Money Laundering policies, procedures, and controls.
2. She failed to carry out any or any adequate client due diligence in respect of one or more clients.
3. She failed to carry out an adequate risk assessment and ongoing monitoring in respect of one or more clients.  
4. She failed to have in place adequate Anti-Money Laundering training for staff members and/or sub-contractors.
5. She failed to carry out any or any adequate periodic review of her Anti-Money Laundering policies, procedures, and controls.
6. She failed to retain client due diligence records for one or more clients for a minimum of five years after ceasing to act for the clients, in contravention of the requirements of the Money Laundering Regulations.
7. She failed to issue any or any adequate letters of engagement to one or more clients.
8. She provided services to the public without holding the required level of professional indemnity insurance.
9. She provided capital gains tax services outside the scope of her AAT licence.

By reason of the conduct set out in the Allegations above, Dawn Jinks is guilty of misconduct pursuant to Article 21 of AAT’s Articles of Association.

The Investigation Team orders that Dawn Jinks be:

1. Severely reprimanded for a period of five years.

The decision of the Investigations Team shall stand as an Order of the Association pursuant to Regulations 5.2 and 5.3 of the Disciplinary Regulations.