Thomas James Lloyd

Last updated
1 week 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

    FRN 494699

    • [FCA CF] Material risk taker (since 5 Oct 2022)
    • [FCA CF] Significant management (since 5 Oct 2022)
  • VANGUARD ASSET MANAGEMENT, LTD.

    FRN 527839

    • SMF5 Head of Internal Audit (since 5 Oct 2022)
  • abrdn Fund Managers Limited (no longer approved here)

    FRN 121803

    • SMF5 Head of Internal Audit (9 Dec 2019 to 30 Sep 2021)
    • CF28 Systems and controls (15 May 2019 to 8 Dec 2019)
  • abrdn Investments Limited (no longer approved here)

    FRN 121891

    • SMF5 Head of Internal Audit (9 Dec 2019 to 30 Sep 2021)
    • CF28 Systems and controls (15 May 2019 to 8 Dec 2019)
  • abrdn Alternative Funds Limited (no longer approved here)

    FRN 143445

    • [FCA CF] Material risk taker (9 Dec 2019 to 30 Sep 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 30 Sep 2021)
    • CF28 Systems and controls (15 May 2019 to 8 Dec 2019)
  • ASCOT LLOYD FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 144519

    • [FCA CF] Material risk taker (9 Dec 2019 to 30 Sep 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 30 Sep 2021)
    • CF28 Systems and controls (15 May 2019 to 8 Dec 2019)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • SMF5 Head of Internal Audit (9 Dec 2019 to 30 Sep 2021)
    • CF28 Systems and controls (15 May 2019 to 8 Dec 2019)
  • abrdn Investment Management Limited (no longer approved here)

    FRN 188406

    • SMF5 Head of Internal Audit (9 Dec 2019 to 30 Sep 2021)
    • CF28 Systems and controls (15 May 2019 to 8 Dec 2019)
  • ABERDEEN PLATFORM LIMITED (no longer approved here)

    FRN 188796

    • SMF5 Head of Internal Audit (9 Dec 2019 to 30 Sep 2021)
    • CF28 Systems and controls (15 May 2019 to 8 Dec 2019)
  • Parmenion Capital Partners LLP (no longer approved here)

    FRN 462085

    • [FCA CF] Material risk taker (9 Dec 2019 to 30 Jun 2021)
    • [FCA CF] Significant management (9 Dec 2019 to 30 Jun 2021)
    • CF28 Systems and controls (15 May 2019 to 8 Dec 2019)
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