VANGUARD ASSET MANAGEMENT, LTD.

• Principal Place of Business

  4th Floor

  The Walbrook Building

  25 Walbrook

  London

  EC4N 8AF

  UNITED KINGDOM

  Phone

  +442037535600

  Web

  https://www.vanguardinvestor.co.uk

• Complaints Contact

  4th Floor

  The Walbrook Building

  25 Walbrook

  London

  EC4N 8AF

  UNITED KINGDOM

  Phone

  +447858763169

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security)

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  • · The firm is limited to dealing as a principal in investments in the rights under the personal pension scheme(s) that it operates.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Runs Personal Pensions

  For Professional, Retail (Investment), Personal pension scheme

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Targeted Money Guidance

  For Retail (Investment), Government and public security, Personal pension scheme, Rights to or interests in investments (Security), Share, Unit

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Personal pension scheme, Rights to or interests in investments (Security), Share, Unit

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Glyn Jason Walker Jones

  IRN GJJ01026

  • CF30 Customer (3 Feb 2011 to 4 May 2014)
• Gorka Diaz de Orbe

  IRN GXD00309

  • SMF18 Other Overall Responsibility (2 Jun 2023 to 31 Jul 2025)
  • [FCA CF] Material risk taker (1 Nov 2022 to 2 Jun 2023)
  • [FCA CF] Significant management (1 Nov 2022 to 2 Jun 2023)
• Gregory Joann Sollmeyer

  IRN GJS01200

  • [FCA CF] Client dealing (15 Jan 2021 to 11 Dec 2023)
  • CF30 Customer (20 Jun 2017 to 8 Dec 2019)
• Gunjan Dawar Sharma

  IRN GXS11389

  • SMF4 Chief Risk (9 Dec 2019 to 22 Apr 2020)
  • CF30 Customer (9 Apr 2019 to 8 Dec 2019)
  • CF28 Systems and controls (9 Apr 2019 to 8 Dec 2019)
• Hamish Edwards

  IRN HXE00062

  • [FCA CF] Client dealing (since 29 Aug 2022)
• Harkirat Singh

  IRN HXS00509

  • [FCA CF] Client dealing (since 12 Sep 2024)
• Harry French

  IRN HXF00042

  • [FCA CF] Significant management (15 Jan 2021 to 10 Jun 2025)
• Henry Glynn

  IRN HMG01038

  • CF30 Customer (5 Feb 2016 to 29 Sep 2016)
• Henry Lee

  IRN HXL00172

  • [FCA CF] Client dealing (10 Jul 2023 to 31 Dec 2023)
• Himanshu Arvindkumar Patel

  IRN HXP00096

  • SMF4 Chief Risk (21 Jun 2021 to 27 Aug 2024)

No changes recorded yet.