Robert Michael Swainston

Watch for changes

Where they hold approval

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

PERSHING SECURITIES LIMITED (no longer approved here)
FRN 146576
- [FCA CF] Client dealing (26 Nov 2020 to 1 Jul 2024)
- CF30 Customer (7 Nov 2016 to 8 Dec 2019)
Liquidnet Europe Limited (no longer approved here)
FRN 198039
- CF30 Customer (11 Nov 2008 to 1 Oct 2012)
GFI Securities Limited (no longer approved here)
FRN 184801
- CF21 Investment Adviser (28 Jul 2005 to 22 Mar 2006)
- CF26 Customer Trading (9 Mar 2004 to 28 Jul 2005)

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.