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

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  • · 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.

• Gregg Johnston

  IRN GXJ01172

  • CF1 Director (24 Mar 2010 to 12 Jul 2011)
• Gregory Robert Cooper

  IRN GRC01052

  • CF10 Compliance Oversight (16 Dec 2011 to 16 Mar 2012)
  • CF28 Systems and controls (2 Feb 2010 to 16 Mar 2012)
  • CF8 Apportionment and Oversight (28 Jul 2006 to 6 Dec 2006)
  • CF16 Significant Mgt (Desgntd Investment Business) (10 Oct 2003 to 22 Jul 2004)
  • CF11 Money Laundering Reporting (23 Jul 2003 to 22 Apr 2005)
  • CF1 Director (1 Dec 2001 to 16 Mar 2012)
• Grigor Lewis Milne

  IRN GXM00237

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Dec 2025)
• Guillaume Christian Frederic Paillat

  IRN GCP01034

  • CF30 Customer (20 Mar 2014 to 26 Sep 2017)
  • CF27 Investment Management (28 Sep 2004 to 19 Jan 2007)
• Habib Shahabuddin Subjally

  IRN HSS01020

  • CF30 Customer (1 Nov 2007 to 7 Mar 2014)
  • CF27 Investment Management (27 Jun 2006 to 31 Oct 2007)
• Harry Patrick Moore

  IRN HXM00124

  • [FCA CF] Significant management (since 18 Feb 2026)
  • [FCA CF] Material risk taker (since 18 Feb 2026)
  • [FCA CF] Manager of certification employee (since 18 Feb 2026)
  • [FCA CF] Client dealing (23 Feb 2022 to 31 Dec 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Jan 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Jan 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2025)
• Harry William Gladstone

  IRN HWG01011

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2025)
  • CF30 Customer (16 Mar 2016 to 8 Dec 2019)
• Heather Wells

  IRN HXW01094

  • CF28 Systems and controls (2 Feb 2010 to 27 Dec 2010)
  • CF27 Investment Management (2 Jan 2003 to 27 Jun 2003)
• Heiko Jelle De Boer

  IRN HJD01037

  • CF30 Customer (1 Nov 2007 to 24 Nov 2008)
  • CF21 Investment Adviser (10 Sep 2007 to 31 Oct 2007)
  • CF22 Investment Adviser (Trainee) (15 Jun 2007 to 10 Sep 2007)
• Helena Cairns

  IRN HXC00095

  • [FCA CF] Client dealing (9 Dec 2019 to 6 Jul 2021)

No changes recorded yet.