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.

• Richard Samuel Magowan

  IRN RXM12968

  • [FCA CF] Client dealing (since 17 Dec 2024)
  • [FCA CF] Client dealing (21 Dec 2020 to 21 Oct 2022)
  • CF30 Customer (28 Mar 2019 to 8 Dec 2019)
• Rick Vassell

  IRN RXV01227

  • SMF17 Money Laundering Reporting Officer (MLRO) (3 Feb 2025 to 11 Dec 2025)
  • SMF16 Compliance Oversight (3 Feb 2025 to 8 Jul 2025)
  • SMF18 Other Overall Responsibility (17 Sep 2021 to 3 Feb 2025)
• Rikki Singh Hundal

  IRN RSH01097

  • [FCA CF] Client dealing (since 6 Jan 2025)
• Rima Varsy

  IRN RXV00164

  • [FCA CF] Significant management (since 17 Jun 2025)
• Robert James Fisher

  IRN RXF00112

  • [FCA CF] Manager of certification employee (6 Jan 2021 to 11 Jul 2023)
  • [FCA CF] Significant management (6 Jan 2021 to 11 Jul 2023)
• Robert Michael Miller

  IRN RXM01758

  • [FCA CF] Client dealing (20 Jan 2021 to 8 Aug 2022)
• Robert Thomas Balzanella

  IRN RTB01067

  • [FCA CF] Material risk taker (since 1 Feb 2024)
  • [FCA CF] Manager of certification employee (since 21 Dec 2020)
  • [FCA CF] Client dealing (since 21 Dec 2020)
  • CF30 Customer (30 Jun 2018 to 8 Dec 2019)
• Robyn Leigh Laidlaw

  IRN RLL01044

  • SMF18 Other Overall Responsibility (9 Dec 2019 to 4 Dec 2025)
  • CF29 Significant management (2 Jul 2015 to 8 Dec 2019)
  • CF30 Customer (2 Jul 2015 to 8 Dec 2019)
• Roger Mark Hallam

  IRN RMH01131

  • [FCA CF] Manager of certification employee (since 19 Dec 2022)
  • [FCA CF] Significant management (since 19 Dec 2022)
  • [FCA CF] Client dealing (since 19 Dec 2022)
  • [FCA CF] Material risk taker (since 19 Dec 2022)
• Rohan Sivajoti

  IRN RXS02052

  • CF30 Customer (26 Mar 2012 to 29 Nov 2013)

No changes recorded yet.