Ian Swan

Watch for changes

Where they hold approval

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

Pi Financial Ltd
FRN 186419
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 9A. Advising on P2P agreements
- 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 5 Apr 2022)
- Appointed representative dealing with clients for which they require qualification (since 5 Apr 2022)
- CF30 Customer (since 26 Jan 2022)
Retirement Professionals Ltd
FRN 622943
- (3)Employed By (since 26 Jan 2022)
Openwork Limited (no longer approved here)
FRN 408285
- CF22 Investment Adviser (Trainee) (1 Jun 2005 to 10 Feb 2006)

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.