Andrew Sword

Watch for changes

Where they hold approval

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

Macquarie Bank Ltd
FRN 170934
- [FCA CF] Client dealing (since 24 Aug 2022)
TP ICAP Broking Limited (no longer approved here)
FRN 154234
- [FCA CF] Client dealing (15 Mar 2021 to 2 Mar 2022)
Wells Fargo Securities International Limited (no longer approved here)
FRN 186745
- CF30 Customer (24 Feb 2015 to 8 Dec 2019)
Societe Generale International Limited (no longer approved here)
FRN 538896
- CF30 Customer (19 Aug 2011 to 11 Dec 2014)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF21 Investment Adviser (10 Jun 2004 to 7 Sep 2007)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF21 Investment Adviser (10 Jun 2004 to 7 Sep 2007)
Citigroup Global Markets Limited (no longer approved here)
FRN 124384
- CF21 Investment Adviser (1 Dec 2001 to 19 Apr 2004)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.