Zachary Marcus Swabe

Watch for changes

Where they hold approval

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

UBS Asset Management (UK) Ltd
FRN 119319
- [FCA CF] Client dealing (since 26 Aug 2020)
- [FCA CF] Material risk taker (since 26 Aug 2020)
- [FCA CF] Manager of certification employee (26 Aug 2020 to 1 Aug 2025)
- CF30 Customer (22 Aug 2011 to 8 Dec 2019)
ING Bank N.V. (no longer approved here)
FRN 124940
- CF23 Corporate Finance Adviser (8 Mar 2006 to 1 May 2007)

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.