Dale Williams

Watch for changes

Where they hold approval

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

Commerzbank AG
FRN 124920
- [FCA CF] Manager of certification employee (since 1 Aug 2020)
- [FCA CF] Client dealing (since 10 May 2019)
Australia and New Zealand Banking Group Ltd (no longer approved here)
FRN 114151
- CF30 Customer (14 Aug 2013 to 6 Mar 2016)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (10 Apr 2012 to 31 Jul 2013)

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.