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.

• Sathit Lilaram

  IRN SXL00545

  • [FCA CF] Client dealing (16 Dec 2022 to 31 Dec 2023)
• Scott David Johnston

  IRN SDJ01060

  • [FCA CF] Manager of certification employee (since 20 Aug 2025)
  • [FCA CF] Client dealing (since 20 Aug 2025)
  • CF30 Customer (21 Aug 2018 to 11 Apr 2019)
• Scott Robert Atkinson

  IRN SRA01086

  • [FCA CF] Client dealing (since 15 Jan 2021)
  • CF30 Customer (4 Mar 2015 to 8 Dec 2019)
• Scott Walker

  IRN SXW00753

  • [FCA CF] Client dealing (since 16 Mar 2023)
• Sean Hagerty

  IRN SXH02838

  • SMF3 Executive Director (9 Dec 2019 to 9 Jul 2024)
  • SMF1 Chief Executive (9 Dec 2019 to 9 Jul 2024)
  • CF3 Chief Executive (16 Jan 2017 to 8 Dec 2019)
  • CF1 Director (16 Jan 2017 to 8 Dec 2019)
• Sean Robert Kennedy

  IRN SXK00249

  • [FCA CF] Functions requiring qualifications (21 Dec 2020 to 23 Apr 2023)
  • [FCA CF] Manager of certification employee (21 Dec 2020 to 23 Apr 2023)
  • [FCA CF] Significant management (21 Dec 2020 to 23 Apr 2023)
• Selina Marie Kirby

  IRN SMS01140

  • [FCA CF] Manager of certification employee (since 12 Jan 2026)
  • [FCA CF] Client dealing (since 26 Oct 2021)
  • CF30 Customer (29 Nov 2017 to 8 Dec 2019)
• Serena Louise Makari Burton

  IRN SXM00893

  • [FCA CF] Client dealing (26 Oct 2021 to 7 Nov 2025)
• Shaan Raithatha

  IRN SXR02627

  • [FCA CF] Manager of certification employee (since 22 Feb 2021)
  • [FCA CF] Client dealing (since 15 Jan 2021)
  • CF30 Customer (18 Nov 2017 to 8 Dec 2019)
• Shannon Sarah Yelbasi

  IRN SXY22130

  • [FCA CF] Client dealing (6 Oct 2021 to 24 Apr 2023)
  • [FCA CF] Functions requiring qualifications (6 Oct 2021 to 24 Apr 2023)

No changes recorded yet.