WHITING GROUP LTD

• Principal Place of Business

  19-21 Albion Place

  Maidstone

  Kent

  ME14 5EG

  UNITED KINGDOM

  Phone

  +4401622356999

  Web

  https://www.whitings.co.uk

• Complaints Contact

  19-21 Albion Place

  Maidstone

  Kent

  ME14 5EG

  UNITED KINGDOM

  Phone

  +4401622356999

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Equity Release Advice

  For Customer, Home reversion plans

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Equity Release Arranging

  For Customer, Home reversion plans

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Equity Release Setup

  For Customer, Home reversion plans

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Caroline Anne Bouwens

  IRN CAB00017

  • CF30 Customer (1 Nov 2007 to 31 Mar 2011)
  • Responsible for Insurance Mediation (14 Jan 2005 to 12 Jan 2009)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 12 Jan 2009)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF10 Compliance Oversight (1 Dec 2001 to 12 Jan 2009)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 12 Jan 2009)
  • CF1 Director (1 Dec 2001 to 12 Jan 2009)
• David Mark Bridgeman

  IRN DMB00055

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • 21. Advising or arranging (bringing about) equity release transactions
  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • 7. Giving personal recommendations on long-term care insurance contracts
  • Appointed representative dealing with clients for which they require qualification (since 8 Sep 2020)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • CF10 Compliance Oversight (6 Feb 2009 to 8 Dec 2019)
  • CF1 Director (6 Feb 2009 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (6 Feb 2009 to 8 Dec 2019)
  • CF28 Systems and controls (6 Feb 2009 to 8 Dec 2019)
  • CF30 Customer (6 Feb 2009 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (6 Feb 2009 to 31 Mar 2009)
  • Responsible for Insurance Mediation (6 Feb 2009 to 30 Sep 2018)
• Graham Robert Shepherd

  IRN GRS01096

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF24 Pension Transfer Specialist (11 Oct 2005 to 31 Oct 2007)
  • CF21 Investment Adviser (27 Nov 2002 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (18 Sep 2002 to 27 Nov 2002)
• Heather Imogen Dunne

  IRN HID00002

  • CF30 Customer (21 May 2010 to 13 Aug 2010)
• Joanne Mary Town

  IRN JMT01099

  • CF21 Investment Adviser (3 Feb 2003 to 31 Oct 2004)
  • CF22 Investment Adviser (Trainee) (18 Sep 2002 to 3 Feb 2003)
• John Charles Whiting

  IRN JCW00011

  • CF30 Customer (1 Nov 2007 to 12 Dec 2007)
  • CF1 Director (1 Dec 2001 to 13 Dec 2007)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
• Michelle Louise Schofield

  IRN MLS01068

  • CF21 Investment Adviser (18 Mar 2003 to 12 Apr 2004)
  • CF22 Investment Adviser (Trainee) (18 Sep 2002 to 18 Mar 2003)
• Richard Curran

  IRN RXC01381

  • CF24 Pension Transfer Specialist (29 Nov 2002 to 30 Apr 2007)
  • CF21 Investment Adviser (27 Nov 2002 to 30 Apr 2007)
  • CF22 Investment Adviser (Trainee) (18 Sep 2002 to 27 Nov 2002)
• Stephen William Bailey

  IRN SWB01061

  • CF21 Investment Adviser (13 Jan 2003 to 12 Apr 2004)
  • CF24 Pension Transfer Specialist (5 Dec 2002 to 12 Apr 2004)
  • CF22 Investment Adviser (Trainee) (5 Dec 2002 to 13 Jan 2003)

• SBS Financial Services Community Interest Company (no longer appointed)

  FRN 820299 · Appointed 8 Sep 2020 · Until 3 Feb 2025

• Your Time Equity Release Limited (no longer appointed)

  FRN 612259 · Appointed 27 Dec 2013 · Until 8 Apr 2020

• Direct Pension Services Ltd (no longer appointed)

  FRN 210359 · Appointed 7 Mar 2002 · Until 20 Mar 2008

No changes recorded yet.