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.

• Peter Engstrom

  IRN PXE01086

  • [FCA CF] Manager of certification employee (1 Jan 2022 to 20 Aug 2025)
  • CF30 Customer (1 Feb 2011 to 8 Dec 2019)
• Peter Francis Westaway

  IRN PFW01038

  • [FCA CF] Client dealing (30 Dec 2020 to 30 Jun 2022)
  • [FCA CF] Material risk taker (30 Dec 2020 to 30 Jun 2022)
  • [FCA CF] Manager of certification employee (30 Dec 2020 to 30 Jun 2022)
  • CF30 Customer (9 Jan 2012 to 8 Dec 2019)
• Philip Coffer

  IRN PXC00051

  • SMF16 Compliance Oversight (27 Nov 2023 to 31 Dec 2024)
• Philip Hubert Marie Tychon

  IRN PHT01037

  • [FCA CF] Client dealing (since 21 Dec 2020)
  • CF30 Customer (28 Oct 2013 to 8 Dec 2019)
• Phoebe Chen

  IRN PXC00626

  • [FCA CF] Client dealing (since 13 Aug 2024)
• Phoebe Wren Kramer

  IRN PXK00265

  • SMF24 Chief Operations (since 25 Sep 2022)
• Quentin Daniel Ghislain Grulois

  IRN QDG01001

  • [FCA CF] Client dealing (21 Dec 2020 to 20 Aug 2024)
  • CF30 Customer (19 Apr 2011 to 8 Dec 2019)
• Rachel Emma Baxter

  IRN REB01128

  • [FCA CF] Manager of certification employee (since 24 Dec 2025)
  • [FCA CF] Significant management (since 24 Dec 2025)
  • [FCA CF] Client dealing (since 24 Dec 2025)
  • [FCA CF] Material risk taker (1 Nov 2022 to 31 Jan 2024)
  • [FCA CF] Manager of certification employee (18 Dec 2021 to 31 Jan 2024)
  • [FCA CF] Client dealing (21 Dec 2020 to 31 Jan 2024)
• Rachel Marie von Maydell

  IRN RXV10493

  • [FCA CF] Client dealing (since 21 Oct 2025)
• Rahul Thakrar

  IRN RXT01845

  • [FCA CF] Client dealing (21 Dec 2020 to 7 Jun 2023)
  • CF30 Customer (19 Jul 2018 to 8 Dec 2019)

No changes recorded yet.