Neil Rossiter

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.

  • W&T Limited

    FRN 439620

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • Responsibility for MCD Intermediation (since 23 Jun 2021)
    • Responsible for Insurance Distribution (since 23 Jun 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (23 Jun 2021 to 26 Jul 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (23 Jun 2021 to 26 Jul 2023)
    • [FCA CF] CASS oversight function (9 Dec 2019 to 25 Feb 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 25 Feb 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 25 Feb 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (21 Feb 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
  • Mortgage Advice Bureau Limited (no longer approved here)

    FRN 455545

    • CF1 Director (AR) (17 May 2011 to 14 May 2013)
  • Mortgage Advice Bureau (Derby) Limited (no longer approved here)

    FRN 466154

    • CF1 Director (AR) (17 May 2011 to 14 May 2013)
  • Wilkie May and Tuckwood Mortgage Services Ltd (no longer approved here)

    FRN 548047

    • Employed By (17 May 2011 to 14 May 2013)
  • Blackdown Financial Services Limited (no longer approved here)

    FRN 120839

    • Employed By (1 Dec 2001 to 23 Dec 2005)

Recent activity

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

No changes recorded yet.