Mr Joseph Lister - 29 May 2019

Mr Joseph Lister
SLP Accountants
Great Barr
Birmingham B43 7BP

The Disciplinary Committee made the decision below having heard a formal complaint on 29 May 2019.

Complaint

The Institute complained that Mr Lister had been in practice since 2015 without being an Associate or Fellow and without holding a practising certificate.

Finding

The Disciplinary Committee found that Mr Lister was guilty of professional misconduct within the meaning of Bye-law 13.1 by practising without a practising certificate, and that save for a short period in the latter half of 2017 Mr Lister, on his own admission, is and was in public practice without a practising certificate since 2015. Further, Mr Lister did not reply to any correspondence with the IFA before the Investigations Committee meeting. Mr Lister’s failure to engage with the IFA fell far short of his professional responsibilities.

The committee found the Bye-law breaches to be serious and recent correspondence from Mr Lister demonstrated a significant lack of insight and remorse. There had been a prolonged period of non-compliance – the committee being particularly mindful of the criminal consequences flowing from this since it has meant he was engaged in public practice without anti-money laundering supervision.

Order

Mr Lister was expelled and ordered to pay costs of £4379.