Richard Swain

Watch for changes

Where they hold approval

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

W H Ireland Limited
FRN 140773
- SMF16 Compliance Oversight (since 10 Oct 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 10 Oct 2024)
iPensions Group Limited (no longer approved here)
FRN 464521
- [FCA CF] CASS oversight function (9 Dec 2019 to 12 Oct 2021)
- SMF16 Compliance Oversight (9 Dec 2019 to 4 Nov 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 4 Nov 2021)
- CF10 Compliance Oversight (13 Mar 2017 to 8 Dec 2019)
- CF10a CASS Oversight function (13 Mar 2017 to 8 Dec 2019)
- CF11 Money Laundering Reporting (13 Mar 2017 to 8 Dec 2019)

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.