Our Regulatory Commitments
Aserto Limited is an Appointed Representative of Momentum Broker Solutions Limited, which is authorised and regulated by the Financial Conduct Authority. This arrangement ensures we meet the highest standards of professional conduct, consumer protection, and financial stability. Our regulatory framework ensures transparency, fairness, and accountability in all our dealings.
What's Covered
- FCA Regulation: Appointed Representative status under FCA regulation via Momentum Broker Solutions Limited
- Conduct Standards: Compliance with FCA COBS rules and conduct requirements
- Consumer Protection: FSCS protection for eligible clients
- Professional Indemnity: Insurance coverage protecting against professional errors
- Transparency: Clear disclosure of fees, charges, and conflicts of interest
Compliance Framework
We operate under a comprehensive regulatory framework designed to protect consumers and ensure fair dealing. This includes conduct standards, treating customers fairly, appropriate adviser qualifications, complaint handling procedures, and protection of client funds and information.
Regulatory Standards
COBS Compliance: Full adherence to FCA Conduct of Business Rules
TCF Principles: Treating Customers Fairly is embedded in our culture
ICOBS Rules: Insurance: Conduct of Business Rules compliance
Fee Disclosure: Clear communication of all charges and costs
Complaints Procedure: Handled through our principal firm, Momentum Broker Solutions Limited
Regulatory Authority
Appointed Representative Status
Aserto Limited is an Appointed Representative of Momentum Broker Solutions Limited, which is authorised and regulated by the Financial Conduct Authority.
Professional Indemnity
Full PI insurance coverage in place.
Standards
Adherence to professional conduct standards.
Regulatory Authorisation
Aserto Limited's regulatory permissions are provided through its principal, Momentum Broker Solutions Limited.