SRB Regulatory is a specialist consultancy which advises FCA regulated entities on complaints which fall within the jurisdiction of the Financial Ombudsman Service (FOS). We can either advise on complaints prior to any FOS referral or following FOS involvement.
Matters we advise on include:
We work either on an hourly or fixed fee rate, depending upon the nature of each specific engagement and client preference.
SRB Regulatory was founded by Stuart Brothers, a solicitor who practised as a retail financial services regulatory solicitor for over 35 years.
One of Stuart’s most recent roles was as a legal counsel to FOS, advising particularly on investment and pensions matters including on:
Stuart was also managing director of the London Life group of companies in the late 1990’s and was a non-executive director to the holding company of a SIPP operator for 10 years.
Stuart has been the author of articles relating to FOS in Money Marketing.