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.

• Susan Anne Green

  IRN SAO01012

  • CF27 Investment Management (1 Dec 2001 to 5 Dec 2003)
• Susan Turner

  IRN SXT01771

  • CF1 Director (24 Sep 2013 to 15 Jan 2018)
• Susan Veronica Rippingall

  IRN SVR01002

  • CF30 Customer (1 Nov 2007 to 30 Apr 2013)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Suzanne Clare Evans

  IRN SXE00049

  • [FCA CF] Material risk taker (8 Sep 2023 to 8 Apr 2025)
  • [FCA CF] Significant management (8 Sep 2023 to 8 Apr 2025)
  • SMF3 Executive Director (29 Jan 2021 to 23 Aug 2023)
• Tal Lomnitzer

  IRN TXL01054

  • CF30 Customer (20 Dec 2011 to 14 Feb 2019)
• Terrence Yodaiken

  IRN TXY01138

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Feb 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Feb 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Feb 2023)
  • CF29 Significant management (6 Feb 2018 to 1 Aug 2019)
• Thomas Alec Burton

  IRN TAB01120

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (5 Apr 2023 to 1 Dec 2025)
  • CF30 Customer (15 Jun 2012 to 8 Dec 2019)
• Thomas Douglas Tremayne Waring

  IRN TDW01029

  • CF1 Director (11 Sep 2003 to 28 Aug 2006)
  • CF3 Chief Executive (11 Sep 2003 to 28 Aug 2006)
  • CF8 Apportionment and Oversight (11 Sep 2003 to 28 Aug 2006)
• Thomas James Allen

  IRN TJA01064

  • CF30 Customer (19 Jun 2015 to 8 Dec 2019)
• Thomas Lloyd Mermagen

  IRN TLM01006

  • CF27 Investment Management (5 Aug 2002 to 29 Jul 2004)

No changes recorded yet.