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.

• Julia Susan Cole-Turner

  IRN JSC01123

  • [FCA CF] Functions requiring qualifications (21 Dec 2020 to 26 Jun 2023)
• Jumana Naveeda Saleheen

  IRN JXS01072

  • [FCA CF] Material risk taker (since 29 Aug 2022)
  • [FCA CF] Client dealing (since 29 Aug 2022)
  • [FCA CF] Manager of certification employee (since 29 Aug 2022)
• Kai-Jhu Hsu

  IRN KXH00478

  • [FCA CF] Client dealing (since 16 Jul 2024)
• Katherine Hannah Remington

  IRN KXR22519

  • SMF5 Head of Internal Audit (7 Feb 2020 to 30 Apr 2021)
• Katherine Louise Fulker

  IRN KLF01022

  • [FCA CF] Significant management (3 Mar 2021 to 15 Sep 2021)
  • [FCA CF] Material risk taker (3 Mar 2021 to 15 Sep 2021)
  • CF11 Money Laundering Reporting (19 Jun 2017 to 8 Dec 2019)
  • CF10 Compliance Oversight (30 Jun 2016 to 8 Dec 2019)
• Kathleen Celeste Bock

  IRN KXB13475

  • SMF10 Chair of the Risk Committee (since 19 Jun 2023)
  • SMF11 Chair of the Audit Committee (since 9 Dec 2019)
  • CF2 Non Executive Director (19 Jun 2019 to 8 Dec 2019)
• Katie Jane Smith

  IRN KJS01142

  • [FCA CF] Material risk taker (22 Feb 2021 to 15 Jun 2021)
  • [FCA CF] Significant management (22 Feb 2021 to 15 Jun 2021)
  • [FCA CF] Manager of certification employee (22 Feb 2021 to 15 Jun 2021)
  • SMF3 Executive Director (9 Dec 2019 to 16 Feb 2022)
  • CF1 Director (27 Jun 2019 to 8 Dec 2019)
  • CF29 Significant management (18 Jul 2018 to 8 Dec 2019)
• Katie Louise Ramsey

  IRN KLR01036

  • [FCA CF] Client dealing (9 Dec 2019 to 7 Feb 2020)
  • CF30 Customer (21 Jun 2017 to 22 Mar 2019)
• Kelly Gemmell

  IRN KAG01057

  • [FCA CF] Client dealing (since 27 Sep 2022)
• Kemal Selim Hairettin

  IRN KSH01036

  • SMF24 Chief Operations (9 Dec 2019 to 31 May 2021)
  • CF28 Systems and controls (13 Jun 2017 to 8 Dec 2019)
  • CF29 Significant management (24 Jan 2011 to 8 Dec 2019)

No changes recorded yet.