Simon Dale

Last updated
3 weeks ago
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Where they hold approval

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

  • JPMorgan Chase Bank, National Association

    FRN 124491

    • [FCA CF] Significant management (since 16 Oct 2025)
    • [FCA CF] Material risk taker (since 5 Sep 2022)
    • [FCA CF] Client dealing (since 4 Sep 2017)
    • [FCA CF] Manager of certification employee (since 4 Sep 2017)
    • CF30 Customer (2 Jun 2010 to 6 Mar 2016)
  • J.P. Morgan Securities plc

    FRN 155240

    • [FCA CF] Significant management (since 16 Oct 2025)
    • [FCA CF] Material risk taker (since 5 Sep 2022)
    • [FCA CF] Manager of certification employee (since 4 Sep 2017)
    • [FCA CF] Client dealing (since 4 Sep 2017)
    • CF30 Customer (2 Jun 2010 to 6 Mar 2016)
  • JEFFERIES INTERNATIONAL LIMITED (no longer approved here)

    FRN 139253

    • CF30 Customer (7 Nov 2008 to 17 Nov 2009)
  • JEFFERIES ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 218270

    • CF30 Customer (1 Nov 2007 to 27 Oct 2008)
    • CF27 Investment Management (1 Mar 2007 to 1 Mar 2007)
    • CF21 Investment Adviser (24 Jan 2005 to 31 Oct 2007)
  • ICBC Standard Bank Plc (no longer approved here)

    FRN 124823

    • CF21 Investment Adviser (5 Aug 2002 to 26 Nov 2004)

Recent activity

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

No changes recorded yet.