James Daley

Watch for changes

Where they hold approval

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

Morgan Stanley Investment Management Limited
FRN 121920
- [FCA CF] Manager of certification employee (since 10 Jan 2022)
- [FCA CF] Client dealing (since 10 Jan 2022)
DWS Investments UK Limited (no longer approved here)
FRN 429806
- [FCA CF] Client dealing (9 Dec 2019 to 4 Jan 2022)
- CF30 Customer (16 Mar 2017 to 8 Dec 2019)
DWS Alternatives Global Limited (no longer approved here)
FRN 458997
- [FCA CF] Client dealing (9 Dec 2019 to 4 Jan 2022)
- CF30 Customer (16 Mar 2017 to 8 Dec 2019)
Fiducia Wealth Management Limited (no longer approved here)
FRN 408210
- CF30 Customer (3 Jun 2014 to 27 Oct 2015)

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.