Disciplinary outcome: Alex Shepherd
Order by consent
In the matter of
Mr Alex Shepherd MAAT AATQB
Business name
AS Accountancy, Bookkeeping & Consultancy Ltd
Membership number
10358482
Date
21 April 2025
Misconduct
Allegation 1
From an unknown date until on or around 31 January 2024, whilst a full member of AAT, he failed to apply adequate risk-based due diligence and ongoing monitoring measures in respect of one or more clients.
Allegation 2
From an unknown date until on or around 31 January 2024, whilst a full member of AAT, he failed to comply with Regulation 10 of AAT’s Clients’ Money policy.
Finding
By reason of the conduct set out in the Allegations above, is guilty of misconduct pursuant to Article 21 of AAT’s Articles of Association.
Order
The Investigation Team orders that Alex Shepherd be:
1. Fined £2,000
2. Severely Reprimanded for 3 years
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.
