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.

• Marcus Logan Ayre

  IRN MLA01025

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Jun 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Jun 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2024)
  • CF30 Customer (17 Oct 2008 to 8 Dec 2019)
• Maria Luisa Castro

  IRN MXC00403

  • [FCA CF] Manager of certification employee (since 24 Apr 2024)
  • [FCA CF] Client dealing (since 6 Jan 2020)
  • [FCA CF] Material risk taker (since 6 Jan 2020)
• Mark Andrew Bodon

  IRN MAB01414

  • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 30 Sep 2021)
  • CF30 Customer (5 Sep 2012 to 8 Dec 2019)
• Mark Carruthers

  IRN MXC00411

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Jan 2021)
• Mark David Steinberg

  IRN MDS01216

  • SMF3 Executive Director (9 Dec 2019 to 28 Nov 2025)
  • CF1 Director (9 Nov 2011 to 18 Dec 2012)
• Mark Hurley

  IRN MXH01312

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (12 Mar 2012 to 8 Dec 2019)
• Mark Jenkinson

  IRN MXJ00141

  • [FCA CF] Client dealing (26 Feb 2021 to 30 Jul 2024)
• Mark Lazberger

  IRN MXL01720

  • CF1 Director (5 Dec 2008 to 4 Oct 2018)
  • CF3 Chief Executive (5 Dec 2008 to 13 Jul 2010)
• Mark Reed

  IRN MXR01436

  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 24 Aug 2003)
• Martin Cobb

  IRN MXC01301

  • CF27 Investment Management (1 Dec 2001 to 31 Jan 2002)

No changes recorded yet.