Gregg Dalley

Watch for changes

Where they hold approval

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

Schroder Investment Management North America Limited
FRN 144543
- [FCA CF] Manager of certification employee (since 1 Feb 2026)
- [FCA CF] Material risk taker (since 22 Sep 2022)
- CF26 Customer Trading (22 Feb 2002 to 31 Jul 2002)
Schroder Investment Management Limited
FRN 119348
- [FCA CF] Material risk taker (since 22 Sep 2022)
- [FCA CF] Manager of certification employee (since 1 Oct 2020)
- [FCA CF] Client dealing (since 1 Oct 2020)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF26 Customer Trading (22 Feb 2002 to 31 Oct 2007)
Schroder Unit Trusts Limited
FRN 197288
- [FCA CF] Material risk taker (since 1 Oct 2020)
Schroder Wealth Management (US) Limited (no longer approved here)
FRN 781869
- [FCA CF] Material risk taker (22 Sep 2022 to 27 Nov 2023)

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.