Swarup Bhose

Watch for changes

Where they hold approval

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

HSBC UK Bank Plc
FRN 765112
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 18 Oct 2023)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 25 May 2023)
- CF30 Customer (26 Mar 2019 to 25 May 2023)
Peter Harding Practice Ltd (no longer approved here)
FRN 402110
- (15)Employed By (26 Mar 2019 to 25 May 2023)
Lloyds Bank PLC (no longer approved here)
FRN 119278
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 7 Aug 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.