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.

• Christopher John Laidlaw

  IRN CXL00145

  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Feb 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Feb 2023)
• Christopher Leslie Crawford

  IRN CLC01044

  • CF16 Significant Mgt (Desgntd Investment Business) (12 Dec 2002 to 10 Nov 2006)
• Clare Wood

  IRN CXW01658

  • [FCA CF] Client dealing (28 Mar 2023 to 31 Dec 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 14 Oct 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 14 Oct 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 14 Oct 2022)
• Colin Stuart Anderson

  IRN CXA00105

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 21 Feb 2023)
• Cyril Francis Johnson

  IRN CFJ01012

  • [FCA CF] Material risk taker (9 Dec 2019 to 21 Nov 2022)
  • CF2 Non Executive Director (24 Aug 2015 to 8 Dec 2019)
• Dag Goran Einar Wetterwald

  IRN DGW01080

  • CF30 Customer (11 Apr 2011 to 4 Dec 2013)
• Daniel Morton

  IRN DXM00739

  • [FCA CF] Material risk taker (22 Jul 2022 to 2 May 2023)
  • [FCA CF] Significant management (22 Jul 2022 to 2 May 2023)
• Daniel Vincent Latham

  IRN DVL01009

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF30 Customer (12 Feb 2009 to 5 Dec 2011)
• Daniela Florina Lungu

  IRN DXL01162

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (7 Jan 2013 to 8 Dec 2019)
• David Alexander Cowan

  IRN DXC00848

  • [FCA CF] Significant management (since 2 Feb 2025)
  • [FCA CF] Material risk taker (since 2 Feb 2025)

No changes recorded yet.