Derek Whiting

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Aveton Gifford Associates Limited

    FRN 453956

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 5 Nov 2020)
    • [FCA CF] Client dealing (since 5 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 12 Feb 2026)
    • SMF3 Executive Director (9 Dec 2019 to 12 Feb 2026)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Aug 2006 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Aug 2006 to 8 Dec 2019)
    • CF1 Director (1 Aug 2006 to 8 Dec 2019)
  • Affinity Financial Planning Ltd (no longer approved here)

    FRN 208486

    • (8)Employed By (19 Sep 2002 to 14 Jul 2004)

Recent activity

Updates to this individual's record on the FCA register.

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