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Insolvency practitioner sanctions: Gordon John Johnston 4 September 2023

On 4 September a Settlement Order was made against Mr Gordon John Johnston ACA of Southampton

• From: The Insolvency Service
• Published: 17 October 2023

Documents

Settlement Order Gordon John Johnston

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Details

Summary of complaint

This Order is in relation to a complaint that Mr Johnston:

A Limited

1a. As Joint Administrator of ‘A’ Limited, failed to comply with paragraph 400.74 of the Code of Ethics Part D, in that he failed to demonstrate, by reference to written contemporaneous records the steps he took and the conclusions reached between 4 October 2013 and 5 November 2013, to sufficiently identify and/or evaluate and/or respond to any threats leading up to his appointment as Joint Administrator

and/or

1b. As Joint Administrator of ‘A’ Limited, failed to comply with paragraph 400.75 of the Code of Ethics Part D, in that he failed to retain records that show the steps he took and the conclusions he reached were sufficient to enable a reasonable and informed third party to reach a view on the appropriateness of the identification and evaluation of threats between 4 October 2013 and 5 November 2013.

Mr Gordon Johnston is therefore liable to disciplinary action under Disciplinary Bye-law 4.1a.

2a. As Joint Administrator of ‘A’ Limited, failed to comply with paragraph 400.74 of the Code of Ethics Part D, in that he failed to demonstrate, by reference to written contemporaneous records the steps he took and the conclusions reached on or around 7 January 2014, to sufficiently identify and/or evaluate and/or respond to the threats that Mr ‘B’ represented being appointed Director of ‘C’ Limited.

and/or

2b. As Joint Administrator of ‘A’ Limited, failed to comply with paragraph 400.75 of the Code of Ethics Part D, in that his records on or around 7 January 2014, fail to show that the steps he took and the conclusions he reached were sufficient to enable a reasonable and informed third party to reach a view on the appropriateness of the identification and evaluation of threats that Mr ‘B’ represented being appointed Director of ‘C’ Limited

Mr Gordon Johnston is therefore liable to disciplinary action under Disciplinary Bye-law 4.1a

D Limited

3a. As Joint Administrator of ‘D’ Limited, failed to comply with paragraph 400.74 of the Code of Ethics Part D, in that he failed to demonstrate, by reference to written contemporaneous records the steps he took and the conclusions reached between 13 May 2014 and 22 May 2014, to sufficiently identify and/or evaluate and/or respond to any threats leading up to his appointment as Joint Administrator.

and/or

3b. as Joint Administrator of ‘D’ Limited, failed to comply with paragraph 400.75 of the Code of Ethics Part D, in that he failed to retain records that show the steps he took and the conclusions he reached were sufficient to enable a reasonable and informed third party to reach a view on the appropriateness of the identification and evaluation of threats between 13 May 2014 and 22 May 2014

Gordon Johnston is therefore liable to disciplinary action under Disciplinary Bye-law 4.1a.

Published 17 October 2023