Rick Vassell

Last updated
2 weeks ago
Watch for changes

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

    FRN 527839

    • SMF17 Money Laundering Reporting Officer (MLRO) (3 Feb 2025 to 11 Dec 2025)
    • SMF16 Compliance Oversight (3 Feb 2025 to 8 Jul 2025)
    • SMF18 Other Overall Responsibility (17 Sep 2021 to 3 Feb 2025)
  • BARCLAYS INVESTMENT SOLUTIONS LIMITED (no longer approved here)

    FRN 155595

    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Jan 2020)
    • CF10 Compliance Oversight (20 Jun 2018 to 8 Dec 2019)
  • Barclays Asset Management Limited (no longer approved here)

    FRN 505543

    • SMF16 Compliance Oversight (9 Dec 2019 to 31 Jan 2020)
    • CF10 Compliance Oversight (20 Jun 2018 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.