Dariush Philip Jalali

Watch for changes

Where they hold approval

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

Stratton Wealth Management Limited
FRN 845274
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Responsibility for MCD Intermediation (since 24 Jun 2022)
- SMF3 Executive Director (since 19 Feb 2020)
- Responsible for Insurance Distribution (since 19 Feb 2020)
- [FCA CF] Manager of certification employee (since 12 Jan 2020)
- [FCA CF] Functions requiring qualifications (since 12 Jan 2020)
- [FCA CF] Client dealing (since 12 Jan 2020)
- SMF16 Compliance Oversight (19 Feb 2020 to 14 Apr 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (19 Feb 2020 to 14 Apr 2021)
Prism EBC Limited (no longer approved here)
FRN 630623
- (20)CF1 Director (AR) (8 Oct 2016 to 11 Jan 2017)
- (19)CF30 Customer (1 May 2015 to 16 Dec 2020)

Updates to this individual's record on the FCA register.

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.