Sarah Diane Haswell

Watch for changes

Where they hold approval

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

Alaric Securities (UK) Ltd
FRN 783168
- SMF16 Compliance Oversight (since 27 Sep 2024)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 27 Sep 2024)
BORDER TO COAST PENSIONS PARTNERSHIP LIMITED (no longer approved here)
FRN 800511
- SMF17 Money Laundering Reporting Officer (MLRO) (22 Feb 2021 to 5 Oct 2021)
- SMF16 Compliance Oversight (22 Feb 2021 to 5 Oct 2021)
Union Bancaire Privee, UBP SA (no longer approved here)
FRN 147562
- CF10a CASS Oversight function (4 Jul 2013 to 18 Aug 2014)
- CF10 Compliance Oversight (4 Jul 2013 to 18 Aug 2014)
- CF11 Money Laundering Reporting (4 Jul 2013 to 18 Aug 2014)
CLSA (UK) (no longer approved here)
FRN 140836
- CF11 Money Laundering Reporting (13 Oct 2005 to 8 Jun 2010)
- CF10 Compliance Oversight (13 Sep 2005 to 8 Jun 2010)
Dowgate Capital Limited (no longer approved here)
FRN 146274
- CF11 Money Laundering Reporting (2 Apr 2002 to 16 May 2003)
- CF10 Compliance Oversight (2 Apr 2002 to 16 May 2003)

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.