Keith Robert Michael Swann

Watch for changes

Where they hold approval

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

Marex Financial (no longer approved here)
FRN 442767
- [FCA CF] Client dealing (16 Dec 2024 to 9 Mar 2026)
CAPITAL PLUS PARTNERS LIMITED (no longer approved here)
FRN 189495
- [FCA CF] Client dealing (1 Sep 2023 to 28 Nov 2024)
- [FCA CF] Functions requiring qualifications (1 Sep 2023 to 28 Nov 2024)
Optiva Securities Limited (no longer approved here)
FRN 181192
- CF30 Customer (12 Aug 2019 to 1 Nov 2019)
ALBR CAPITAL LIMITED (no longer approved here)
FRN 456804
- CF30 Customer (14 Sep 2018 to 8 Jul 2019)
TURNER POPE INVESTMENTS (TPI) LTD (no longer approved here)
FRN 739104
- CF30 Customer (8 Jan 2018 to 19 Jul 2018)

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.