Regulatory Risk, Compliance and Strategy experts

Welcome to Scott Robert.  Market leading consultants for Financial Services firms.  FCA Authorisation, FCA Compliance, Risk Management, Strategy, and Technology solutions.  We specialise in taking entrepreneurs and innovative ideas to market through our expertise.  Our wealth of experience helps to ensure that our clients stay compliant and ahead of the competition.

Find out why we’re the regulatory partner of choice for some of the industry’s biggest names. Speak to one of our experts today for confidential and no obligation advice.

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1801, 2019

FCA warns every firm’s CEO over promotion of unregulated activities

January 18th, 2019|Comments Off on FCA warns every firm’s CEO over promotion of unregulated activities

The ‘Dear CEO’ letters issued by the Financial Conduct Authority (FCA) are often sent to firms in specific sectors, highlighting the regulator’s concerns over specific [...]

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1401, 2019

Adviser jailed for eight years for serious misappropriation of client money

January 14th, 2019|Comments Off on Adviser jailed for eight years for serious misappropriation of client money

One of the longest prison sentences imposed against a UK financial services professional in recent years is the eight-year term handed to a Merseyside-based financial [...]

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1101, 2019

CMC fined for submitting misleading claims information

January 11th, 2019|Comments Off on CMC fined for submitting misleading claims information

The Claims Management Regulator at the Ministry of Justice (MoJ) has imposed a fine of £70,000 on a Southend-based claims company. The reasons for the [...]

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