Tam Nguyen

Watch for changes

Where they hold approval

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

UBS Asset Management (UK) Ltd
FRN 119319
- [FCA CF] Manager of certification employee (since 26 Aug 2025)
- [FCA CF] Algorithmic trading (since 20 Jan 2022)
- [FCA CF] Client dealing (since 5 Mar 2021)
Principal Global Investors (Europe) Limited (no longer approved here)
FRN 191120
- CF30 Customer (1 Aug 2011 to 31 Oct 2019)
Pictet Asset Management Limited (no longer approved here)
FRN 181966
- CF30 Customer (26 Mar 2009 to 30 Sep 2010)

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.