Dominic Noel Swan

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.

  • HSBC Alternative Investments Limited (no longer approved here)

    FRN 170423

    • [FCA CF] Manager of certification employee (26 Feb 2021 to 16 May 2022)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Client dealing (9 Oct 2020 to 16 May 2022)
    • [PRA CF] Significant risk taker or Material risk taker (19 Jun 2020 to 7 Aug 2020)
    • [FCA CF] Manager of certification employee (15 Feb 2017 to 22 Jun 2020)
    • CF30 Customer (1 Nov 2007 to 1 Nov 2008)
    • CF27 Investment Management (22 Jun 2005 to 31 Oct 2007)
  • HSBC Global Asset Management (UK) Limited (no longer approved here)

    FRN 122335

    • [FCA CF] Manager of certification employee (19 Jun 2020 to 16 May 2022)
    • [FCA CF] Client dealing (19 Jun 2020 to 16 May 2022)
    • CF29 Significant management (14 Dec 2010 to 8 Dec 2019)
    • CF30 Customer (23 Aug 2010 to 8 Dec 2019)
  • HSBC UK Bank Plc (no longer approved here)

    FRN 765112

    • [PRA CF] Significant risk taker or Material risk taker (19 Jun 2020 to 7 Aug 2020)

Recent activity

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

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