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.

• David Jagger Carss

  IRN DJC01498

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Jun 2022)
  • CF30 Customer (20 Oct 2015 to 8 Dec 2019)
• David John Leary

  IRN DJL01096

  • CF27 Investment Management (1 Dec 2001 to 31 Jul 2006)
• David Kenneth Miller

  IRN DXM00876

  • [FCA CF] Material risk taker (19 Apr 2023 to 24 Oct 2024)
  • [FCA CF] Manager of certification employee (19 Apr 2023 to 24 Oct 2024)
  • [FCA CF] Significant management (19 Apr 2023 to 24 Oct 2024)
• David Martin Allen

  IRN DMA01058

  • [FCA CF] Material risk taker (24 Dec 2021 to 31 May 2024)
  • [FCA CF] Manager of certification employee (24 Dec 2021 to 31 May 2024)
  • [FCA CF] Client dealing (24 Dec 2021 to 31 May 2024)
• David Nathan Pyne

  IRN DXP00209

  • [FCA CF] Client dealing (since 9 Dec 2019)
• David Peter Gait

  IRN DPG01027

  • [FCA CF] Significant management (9 Dec 2019 to 15 Aug 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 15 Aug 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 15 Aug 2025)
  • [FCA CF] Material risk taker (9 Dec 2019 to 15 Aug 2025)
  • CF30 Customer (1 Nov 2007 to 1 May 2016)
  • CF27 Investment Management (1 Dec 2001 to 20 Nov 2003)
• David Phillip James Scilly

  IRN DPS01166

  • [FCA CF] Client dealing (9 Dec 2019 to 25 Jun 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 25 Jun 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 25 Jun 2021)
  • CF30 Customer (21 Mar 2016 to 8 Dec 2019)
• David William Adamson Bain

  IRN DXB00478

  • [FCA CF] Client dealing (19 Apr 2021 to 23 Jan 2026)
• Denise Wanda Saber

  IRN DWS01038

  • CF30 Customer (6 Aug 2014 to 20 Jun 2016)
• Derek Van Osten Lygo

  IRN DVL01003

  • CF27 Investment Management (1 Dec 2001 to 25 Nov 2003)

No changes recorded yet.