Disciplinary outcome: Nicola Mason
Order by consent
In the matter of
Mrs Nicola Mason MAAT
Business name
Point Accounting Limited and Point Accounting (Warrington) Limited
Membership number
10317436
Date
15 July 2025
Misconduct
- She failed to have an adequate firm-wide risk assessment in place
- She failed to have effective customer due diligence in place for existing clients
- She failed to carry out a regular review of AML policies, controls and procedures
- She failed to complete effective client identification (know your client) documentation
Finding
By reason of the conduct set out in the Allegations above, Nicola Mason is guilty of misconduct pursuant to Article 21 of AAT’s Articles of Association.
Order
Nicola Mason is hereby:
- Severely reprimanded for a period of three years
- Fined £1,500
Consent
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.
