Disciplinary outcome: undefined undefined
Order by consent
In the matter of
Mrs Joanna Strickland MAAT
Membership number
10156748
Date
18 July 2024
Misconduct
Joanna Strickland was found to have committed an act or omission that falls short of the standards reasonably expected of her, including but not limited to those matters listed in the Code of Professional Ethics, which brings, or is likely to bring, discredit to the member, the accountancy profession or AAT; namely:
- For an unknown period until on or around 11 July 2023 she failed to carry out any or any adequate client due diligence in respect of one or more clients.
- For an unknown period until on or around 11 July 2023 she failed to carry out an adequate risk assessment and ongoing monitoring in respect of one or more clients.
- For an unknown period until on or around 11 July 2023 she failed to carry out any or any adequate periodic review of her Anti-Money Laundering policies, procedures, and controls.
- For an unknown period until on or around 11 July 2023, she acted as a trust or company service provider (TCSP) without being licensed by AAT or registered with HMRC as a relevant person to do so.
- For an unknown period until on or around 11 July 2023, she failed to receive and hold clients’ money in accordance with AAT’s Clients’ Money Policy.
Finding
Grounds for disciplinary action existed and the matter was suitable for exercise of the Investigations Team's powers under the Disciplinary Regulations.
Order
Joanna Strickland is hereby:
- Fined £5,000.00
- Severely Reprimanded, with the severe reprimand remaining live on her record for a period of three years (36 months).
Consent
Joanna Strickland has agreed to submit to the decision of the Investigations Team in accordance with Regulation 5.3 of the Disciplinary Regulations.
