First Sentier Investors International IM Limited

• Principal Place of Business

  23 St Andrew Square

  Edinburgh

  Midlothian

  EH2 1BB

  UNITED KINGDOM

  Phone

  +441314732200

  Web

  http://www.firstsentierinvestors.com

• Complaints Contact

  FINSBURY HOUSE

  15 Finsbury Circus

  London

  EC2M 7EB

  UNITED KINGDOM

  Phone

  +442073326593

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 3 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Alternative Debenture, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Funeral plan contract, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Life Policy, Option (excluding a commodity option and an option on a commodity future), Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Stakeholder pension scheme, Unit, Warrant

  Show 2 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.

• Graham John Hay

  IRN GJH01070

  • CF27 Investment Management (1 Dec 2001 to 2 Dec 2004)
• Graham Laybourn

  IRN GXL01115

  • CF10 Compliance Oversight (1 Dec 2001 to 27 Jun 2003)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 27 Jun 2003)
• Grant Ferguson

  IRN GXF01150

  • CF28 Systems and controls (23 Jul 2013 to 15 Sep 2017)
  • CF29 Significant management (1 Nov 2007 to 1 Nov 2007)
  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Oct 2007)
• Greg La Peyre

  IRN GXL01397

  • CF28 Systems and controls (28 Jan 2010 to 27 Dec 2010)
• Gregg Johnston

  IRN GXJ01172

  • CF1 Director (24 Mar 2010 to 12 Jul 2011)
• Gregor Johannes Thilo Kurth

  IRN GJK01059

  • [FCA CF] Manager of certification employee (since 27 Mar 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF30 Customer (11 Jul 2014 to 8 Dec 2019)
• Gregory Robert Cooper

  IRN GRC01052

  • CF11 Money Laundering Reporting (16 Dec 2011 to 16 Mar 2012)
  • CF10 Compliance Oversight (16 Dec 2011 to 16 Mar 2012)
  • CF28 Systems and controls (2 Feb 2010 to 16 Mar 2012)
  • CF8 Apportionment and Oversight (28 Jul 2006 to 6 Dec 2006)
  • CF16 Significant Mgt (Desgntd Investment Business) (10 Oct 2003 to 22 Jul 2004)
  • CF1 Director (1 Dec 2001 to 16 Mar 2012)
• Grigor Lewis Milne

  IRN GXM00237

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2025)
• Guillaume Christian Frederic Paillat

  IRN GCP01034

  • CF30 Customer (20 Mar 2014 to 26 Sep 2017)
  • CF27 Investment Management (28 Sep 2004 to 19 Jan 2007)
• Habib Shahabuddin Subjally

  IRN HSS01020

  • CF30 Customer (1 Nov 2007 to 7 Mar 2014)
  • CF27 Investment Management (27 Jun 2006 to 31 Oct 2007)

No changes recorded yet.