Mr Brian Robertson AFA MIPA 
Aberdeen, UK 

Complaint 

The IFA complaint was that Mr Robertson, as Director and sole Person of Significant Control of BJR Accounting Limited, had failed to complete client risk assessments for all clients by the agreed deadline, in breach of MLR 2017 Regulation 66 and 28. 

Finding 

The Regulatory Committee found that there was a prima facie case to answer that rendered Mr Robertson liable to disciplinary action under IFA Bye-law11.2 (c). 

Consent Order 

Severe reprimands, fine of £2400, costs of £937, and monitoring review to be conducted of the firm at the firm’s expense.