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.

• Kerry Margaret Fraser

  IRN KXF00063

  • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Feb 2023)
• Kerry McCormack

  IRN KXM00245

  • [FCA CF] Significant management (27 Mar 2023 to 26 Sep 2025)
  • [FCA CF] Material risk taker (23 Nov 2022 to 26 Sep 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 19 Sep 2024)
• Kerry-Leigh Michelle Baronet

  IRN KXB00203

  • SMF1 Chief Executive (since 29 Jul 2025)
  • SMF3 Executive Director (since 29 Jul 2025)
  • [FCA CF] Significant management (9 Dec 2019 to 10 Feb 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Feb 2023)
• Ketul Nandani

  IRN KXN01252

  • [FCA CF] Manager of certification employee (30 Mar 2023 to 31 Dec 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2025)
  • CF30 Customer (23 Jun 2017 to 8 Dec 2019)
• Kevin Stewart Colglazier

  IRN KSC01020

  • CF27 Investment Management (1 Dec 2001 to 16 Dec 2005)
• Kieron John Nutbrown

  IRN KJN00007

  • CF30 Customer (20 Jan 2014 to 16 Jan 2015)
• Kwok Kit Martin Lau

  IRN KXL00116

  • [FCA CF] Significant management (since 4 Jun 2024)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
• Laura Michelle Fyfe

  IRN LXF00070

  • [FCA CF] Client dealing (9 Dec 2019 to 15 Jun 2022)
• Lauren Prendiville

  IRN LXP00427

  • [FCA CF] Client dealing (since 24 Feb 2025)
  • [FCA CF] Significant management (since 24 Feb 2025)
  • [FCA CF] Material risk taker (since 24 Feb 2025)
  • [FCA CF] Manager of certification employee (since 24 Feb 2025)
• Lei Ke

  IRN LXK00063

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (9 Dec 2019 to 31 May 2024)

No changes recorded yet.