Charles Patrick McSwiggan

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.

  • Ceres Securities Limited

    FRN 595240

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF30 Customer (22 Jul 2013 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (22 Jul 2013 to 8 Dec 2019)
    • CF1 Director (22 Jul 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Jul 2013 to 8 Dec 2019)
  • TAM Asset Management Ltd (no longer approved here)

    FRN 208243

    • CF26 Customer Trading (22 Jul 2005 to 27 Jun 2006)
  • TRADITION LONDON CLEARING LIMITED (no longer approved here)

    FRN 190632

    • CF26 Customer Trading (18 Nov 2004 to 27 Jun 2006)
  • Investec Bank PLC (no longer approved here)

    FRN 172330

    • CF26 Customer Trading (1 Dec 2001 to 13 May 2004)

Recent activity

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

No changes recorded yet.