Disciplinary outcome: Barrie Whitwood
Order by consent
In the matter of
Mr Barrie Whitwood MAAT
Membership number
189677
Date
11 July 2024
Misconduct
1. From an unknown date until on or around 05 September 2023, whilst a full member of AAT, he failed to apply adequate risk-based due diligence and ongoing monitoring measures in respect of one or more clients.
2. From an unknown date until on or around 05 September 2023, whilst a full member of AAT, he failed to comply with Regulation 10 of AAT’s Clients’ Money policy.
3. From an unknown date until on or around 05 September 2023, whilst a full member of AAT, he provided Company Secretarial Service, outside the scope of your license.
Finding
Grounds for disciplinary action existed and the matter was suitable for exercise of the Investigations team's powers under the Disciplinary Regulations.
Order
Barrie Whitwood is hereby:
i. Fined £1,500
ii. Divested of FMAAT status for 2 years
iii. Severe Reprimand to remain on file for 2 years
Consent
Barrie Whitwood has agreed to submit to the decision of the Investigations Team in accordance with Regulation 6 of the Disciplinary Regulations.
