Vaishak Swamy

Watch for changes

Where they hold approval

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

Thornbridge Investment Management LLP
FRN 713859
- CF30 Customer (since 15 Nov 2023)
- CF1 Director (AR) (since 15 Nov 2023)
DSP International UK Ltd
FRN 1004912
- (2)Employed By (since 15 Nov 2023)
Kotak Mahindra (UK) Limited (no longer approved here)
FRN 171837
- [FCA CF] Client dealing (9 Dec 2019 to 29 Jun 2023)
- SMF1 Chief Executive (9 Dec 2019 to 29 Jun 2023)
- CF3 Chief Executive (30 Aug 2017 to 8 Dec 2019)
- CF30 Customer (6 Aug 2009 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.