Neil James Forsythe

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

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Apr 2025)
    • SMF16 Compliance Oversight (since 14 Apr 2025)
  • Spectrum Wealth Management Ltd

    FRN 771506

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • CF1 Director (AR) (since 14 Dec 2020)
    • CF30 Customer (since 14 Dec 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (3 Apr 2017 to 8 Dec 2019)
    • CF1 Director (3 Apr 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Apr 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Apr 2017 to 8 Dec 2019)
    • Responsibility for MCD Intermediation (3 Apr 2017 to 2 May 2018)
    • Responsible for Insurance Mediation (3 Apr 2017 to 30 Sep 2018)
  • Spectrum Advice Network Ltd

    FRN 938972

    • (3)Employed By (since 14 Dec 2020)
  • First Complete Limited

    FRN 435779

    • CF1 Director (AR) (since 27 Apr 2018)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 19 Aug 2025)
  • Spectrum Mortgages and Protection Ltd

    FRN 796211

    • (2)Employed By (since 27 Apr 2018)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF30 Customer (5 May 2016 to 5 Jul 2017)

Recent activity

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

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