Richard John Withers

Last updated
2 weeks ago
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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

    • 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)
  • VANGUARD ASSET MANAGEMENT, LTD. (no longer approved here)

    FRN 527839

    • SMF16 Compliance Oversight (14 Apr 2023 to 26 Nov 2023)
    • SMF18 Other Overall Responsibility (2 Oct 2022 to 14 Apr 2023)
    • [FCA CF] Significant management (21 Dec 2020 to 2 Oct 2022)
    • CF10 Compliance Oversight (12 Sep 2014 to 30 Jun 2016)

Recent activity

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

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