Julian Swain

Watch for changes

Where they hold approval

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

ING Bank N.V. (no longer approved here)
FRN 124940
- [FCA CF] Client dealing (7 Mar 2016 to 5 Jun 2019)
- CF30 Customer (9 Oct 2012 to 6 Mar 2016)
Gain Capital UK Limited (no longer approved here)
FRN 113942
- CF30 Customer (1 Nov 2007 to 8 Oct 2012)
- CF26 Customer Trading (3 May 2007 to 31 Oct 2007)
Schroder Investment Management Limited (no longer approved here)
FRN 119348
- CF26 Customer Trading (1 Dec 2001 to 7 Jun 2002)
Schroder Investment Management North America Limited (no longer approved here)
FRN 144543
- CF26 Customer Trading (1 Dec 2001 to 7 Jun 2002)

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.