James Matthew Smyth

Last updated
1 week ago
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Where they hold approval

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

  • Epsilon Planning LLP

    FRN 756672

    • 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] Client dealing (since 8 Nov 2024)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] Significant management (9 Dec 2019 to 28 Oct 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 29 Oct 2024)
    • SMF27 Partner (9 Dec 2019 to 29 Oct 2024)
    • CF30 Customer (9 Jan 2017 to 8 Dec 2019)
    • CF4 Partner (9 Jan 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (9 Jan 2017 to 30 Sep 2018)
    • CF10 Compliance Oversight (9 Jan 2017 to 8 Dec 2019)
  • Financial Foresight (NI) Limited

    FRN 434724

    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 17. Administrative functions in relation to managing investments
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • Responsible for Insurance Mediation (11 Mar 2010 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 21 Dec 2009)
    • CF4 Partner (AR) (30 Nov 2005 to 22 Jan 2010)
    • CF8 Apportionment and Oversight (30 Nov 2005 to 31 Mar 2009)
    • CF10 Compliance Oversight (10 Oct 2005 to 8 Dec 2019)
    • CF1 Director (10 Oct 2005 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (10 Oct 2005 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (10 Oct 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (10 Oct 2005 to 31 Oct 2007)
  • First Complete Limited (no longer approved here)

    FRN 435779

    • CF1 Director (AR) (3 Oct 2017 to 7 Jan 2025)

Recent activity

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

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