Disciplinary outcome: Vanusa de Aveiro
Order by consent
In the matter of
Mrs Vanusa de Aveiro AATQB
Membership number
20284330
Date
30 July 2024
Misconduct
Vanusa de Aveiro’s professional or personal conduct, was found to be in breach of the Code of Professional Ethics and to have posed a risk to the public or was likely to undermine public confidence in the Association or its members; namely:
1. From an unknown date until on or around 29 March 2023, whilst a full member of AAT, she failed to apply adequate risk-based due diligence and ongoing monitoring measures in respect of one or more clients.
2. From an unknown date until on or around 29 March 2023, whilst a full member of AAT, she failed to carry out and/or record an adequate firm-wide money laundering risk assessment.
3. From 02 April 2020 until on or around 29 March 2023, whilst a full member of AAT, she provided Company Secretarial Services outside the scope of her license.
Finding
Grounds for disciplinary action existed and the matter was suitable for exercise of the Investigations team's powers under the Disciplinary Regulations.
Order
Vanusa de Aveiro’s is hereby:
i. Fined £4,000
ii. Severe Reprimand for 3 years
Consent
Vanusa de Aveiro’s is deemed to have agreed to submit to the decision of the Investigations Team in accordance with Regulation 6 of the Disciplinary Regulations.
