Where they hold approval

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

  • VANGUARD INVESTMENTS UK, LIMITED (no longer approved here)

    FRN 494699

    • [FCA CF] Manager of certification employee (22 Feb 2021 to 31 May 2021)
    • [FCA CF] Significant management (22 Feb 2021 to 31 May 2021)
    • [FCA CF] Material risk taker (22 Feb 2021 to 31 May 2021)
    • CF28 Systems and controls (13 Jun 2017 to 8 Dec 2019)
    • CF10a CASS Oversight function (11 Apr 2012 to 17 Jul 2015)
    • CF29 Significant management (23 Sep 2009 to 8 Dec 2019)
  • VANGUARD ASSET MANAGEMENT, LTD. (no longer approved here)

    FRN 527839

    • SMF24 Chief Operations (9 Dec 2019 to 31 May 2021)
    • CF28 Systems and controls (13 Jun 2017 to 8 Dec 2019)
    • CF29 Significant management (24 Jan 2011 to 8 Dec 2019)

Recent activity

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

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