First Sentier Investors (UK) 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

  23 St Andrew Square

  Edinburgh

  EH2 1BB

  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

  • · Limited to investment management activities for the specified customer types.
  • · 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.

• Authorised to Operate

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  • · 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.

• Arranges Asset Safekeeping

  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 1 limitation Hide limitations

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

• George Alexander Pickard

  IRN GXP00326

  • [FCA CF] Client dealing (7 Sep 2023 to 14 Mar 2025)
• Giles William Starkey

  IRN GXS00251

  • [FCA CF] Significant management (9 Dec 2019 to 31 Dec 2020)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2020)
• Glen William Finegan

  IRN GXF01148

  • CF30 Customer (1 Nov 2007 to 1 Nov 2013)
  • CF27 Investment Management (1 Oct 2004 to 31 Oct 2007)
• Gokyar Gokce Bulut

  IRN GGB01038

  • CF30 Customer (7 Oct 2013 to 13 Jan 2015)
• Graeme Philip Douglas Neuff

  IRN GXN01056

  • CF30 Customer (1 Nov 2007 to 18 Jan 2008)
  • CF27 Investment Management (1 Aug 2005 to 31 Oct 2007)
• Graham Alan Fox

  IRN GAF01062

  • [FCA CF] Client dealing (since 25 Feb 2022)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Feb 2023)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Feb 2023)
  • CF30 Customer (9 Feb 2009 to 8 Dec 2019)
• 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)

No changes recorded yet.