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

  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.

• 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.

• Jonathan Kim Sugden

  IRN JKS01037

  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 11 Jul 2002)
• Joseph Anderson

  IRN JXA01132

  • CF27 Investment Management (1 Dec 2001 to 21 Nov 2003)
• Julie Chan Sew-Chu Thomas

  IRN JCT00044

  • CF30 Customer (4 Nov 2011 to 13 Mar 2014)
• June Alison Jessop

  IRN JAJ01055

  • [FCA CF] Significant management (9 Dec 2019 to 27 May 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 27 May 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 27 May 2022)
  • CF30 Customer (17 Mar 2014 to 14 Nov 2018)
  • CF27 Investment Management (1 Dec 2001 to 1 Nov 2002)
• Kanesh Vallabhdas Lakhani

  IRN KVL01004

  • CF1 Director (6 Feb 2012 to 14 May 2018)
  • CF30 Customer (23 May 2011 to 14 May 2018)
• Karen Majella McGovern

  IRN KXM00246

  • [FCA CF] Material risk taker (9 Dec 2019 to 22 Jul 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 22 Jul 2022)
• Kathryn Turner

  IRN KXT00222

  • [FCA CF] Significant management (since 25 Nov 2022)
  • [FCA CF] Material risk taker (since 25 Nov 2022)
  • [FCA CF] Manager of certification employee (8 Nov 2023 to 25 Jan 2024)
• Katrina Claire Pett

  IRN KXP12862

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2025)
  • CF30 Customer (21 Mar 2019 to 8 Dec 2019)
• Ken Mitsutani

  IRN KXM00247

  • [FCA CF] Client dealing (9 Dec 2019 to 13 Apr 2023)
• Kerry Johan Thirkell

  IRN KXT13996

  • [FCA CF] Significant management (9 Dec 2019 to 29 Jul 2022)
  • [FCA CF] Material risk taker (9 Dec 2019 to 29 Jul 2022)
  • CF10 Compliance Oversight (8 Jul 2019 to 4 Nov 2019)

No changes recorded yet.