Peter David Dalton

Watch for changes

Where they hold approval

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

SFM UK Management LLP
FRN 486382
- [FCA CF] Client dealing (since 6 Mar 2023)
- [FCA CF] Manager of certification employee (since 6 Mar 2023)
- CF30 Customer (6 Aug 2012 to 25 Jul 2019)
JPMorgan Asset Management (UK) Limited (no longer approved here)
FRN 119337
- CF30 Customer (9 Dec 2011 to 15 Jul 2012)
N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)
FRN 124451
- CF30 Customer (29 May 2009 to 2 Sep 2009)

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.