VANGUARD INVESTMENTS UK, LIMITED

Date authorised
1 April 2013
Companies House
04212659
Last scraped
2 weeks ago
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Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    4th Floor
    The Walbrook Building
    25 Walbrook
    London
    EC4N 8AF
    UNITED KINGDOM
    Phone
    +442037535600
    Web
    https://www.vanguard.co.uk/professional

  • Complaints Contact

    4th Floor
    The Walbrook Building
    25 Walbrook
    London
    EC4N 8AF
    UNITED KINGDOM
    Phone
    +442037535600

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • Retail Investment Funds

  • Specialist Investment Funds

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Richard John Poluch

    IRN RJP01284

    • CF29 Significant management (18 Jun 2012 to 30 May 2014)
    • CF28 Systems and controls (18 Jun 2012 to 30 May 2014)
  • Richard John Withers

    IRN RJW01369

    • SMF16 Compliance Oversight (14 Apr 2023 to 26 Nov 2023)
    • [FCA CF] Manager of certification employee (4 Aug 2022 to 14 Apr 2023)
    • [FCA CF] Material risk taker (4 Aug 2022 to 14 Apr 2023)
    • [FCA CF] Significant management (21 Dec 2020 to 14 Apr 2023)
    • CF10 Compliance Oversight (12 Sep 2014 to 30 Jun 2016)
  • Rick Vassell

    IRN RXV01227

    • SMF16 Compliance Oversight (3 Feb 2025 to 8 Jul 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (3 Feb 2025 to 11 Dec 2025)
    • [FCA CF] Significant management (19 Jul 2021 to 3 Feb 2025)
    • [FCA CF] Material risk taker (19 Jul 2021 to 20 May 2025)
  • Robert James Fisher

    IRN RXF00112

    • [FCA CF] Manager of certification employee (1 Jan 2023 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)
  • Robyn Leigh Laidlaw

    IRN RLL01044

    • SMF3 Executive Director (since 8 Oct 2021)
    • [FCA CF] Material risk taker (22 Feb 2021 to 8 Oct 2021)
    • [FCA CF] Significant management (22 Feb 2021 to 8 Oct 2021)
    • CF29 Significant management (2 Jul 2015 to 8 Dec 2019)
  • Roger Mark Hallam

    IRN RMH01131

    • [FCA CF] Manager of certification employee (since 21 Feb 2023)
    • [FCA CF] Material risk taker (since 19 Dec 2022)
  • Ronnie James Beale

    IRN RXB00361

    • 15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
    • [FCA CF] Significant management (since 23 Dec 2020)
    • [FCA CF] Manager of certification employee (since 23 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 23 Dec 2020)
  • Ryan Alexander

    IRN RXA00445

    • [FCA CF] Functions requiring qualifications (2 Oct 2023 to 6 Jun 2025)
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Recent activity

Updates to this firm's record on the FCA register.

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