Arthur Dale Brooksbank

Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

VANGUARD INVESTMENTS UK, LIMITED
FRN 494699
- [FCA CF] Material risk taker (since 1 Jan 2024)
VANGUARD ASSET MANAGEMENT, LTD.
FRN 527839
- [FCA CF] Material risk taker (since 1 Jan 2024)
- [FCA CF] Manager of certification employee (since 12 Mar 2022)
- [FCA CF] Algorithmic trading (since 5 May 2021)
- [FCA CF] Client dealing (since 5 May 2021)
State Street Global Advisors Limited (no longer approved here)
FRN 146665
- CF30 Customer (1 Nov 2007 to 8 Jul 2016)
- CF26 Customer Trading (2 Aug 2006 to 31 Oct 2007)
LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED (no longer approved here)
FRN 119272
- CF26 Customer Trading (24 Jan 2005 to 21 Jul 2006)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.