Disciplinary outcome: Andrew Roberts
Order by consent
In the matter of
Andrew Roberts MAAT
Business name
Aspyre Limited
Membership number
181324
Date
11 December 2025
Misconduct
- He failed to apply adequate risk-based due diligence and ongoing monitoring measures in respect of one or more clients, in accordance with Regulation 28 of the Money Laundering Regulations 2017.
- He failed to carry out any or any adequate annual compliance review, in accordance with regulations 11, 28, 31 and 33b of AAT’s Clients’ Money policy.
Finding
By reason of the conduct set out in the Allegations above, Andrew Roberts is guilty of misconduct pursuant to Article 21 of AAT’s Articles of Association.
Order
The Investigation Team orders that Andrew Roberts be:
- Fined £2,500.
- Severely Reprimanded.
- Divested of FMAAT status for 2 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.
