Mr Roy Bello FFA FTA

Mr Roy Bello FFA FTA
London, UK

Complaint

The IFA complaint was that Mr Bello, as director and sole person of significant control of Pathway Accountancy Ltd, 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 Bello liable to disciplinary action under IFA Bye-law 11.2 (c) and (d).

Consent Order

Severe reprimands, fine of £5200, costs of £937, and monitoring review to be conducted of the firm at the firm’s expense.