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.

• Rebecca Marie Antonini

  IRN RXA00142

  • [FCA CF] Significant management (9 Dec 2019 to 28 Feb 2021)
  • [FCA CF] Material risk taker (9 Dec 2019 to 28 Feb 2021)
• Rebecca Sherlock

  IRN RXM00351

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

  IRN RXF00105

  • [FCA CF] Client dealing (9 Dec 2019 to 17 Jan 2023)
• Richard Alan Jones

  IRN RAJ01056

  • CF16 Significant Mgt (Desgntd Investment Business) (9 Jun 2004 to 31 Jan 2006)
• Richard C Wastcoat

  IRN RCW01037

  • [FCA CF] Material risk taker (9 Dec 2019 to 23 Sep 2020)
  • CF2 Non Executive Director (3 Oct 2011 to 8 Dec 2019)
• Richard Iwan Jones

  IRN RXJ00099

  • [FCA CF] Manager of certification employee (15 Dec 2022 to 29 Jan 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 29 Jan 2025)
  • [FCA CF] Material risk taker (9 Dec 2019 to 29 Jan 2025)
• Rizi Mohanty

  IRN RXM00740

  • [FCA CF] Material risk taker (since 18 Feb 2026)
  • [FCA CF] Client dealing (since 6 Oct 2022)
  • [FCA CF] Manager of certification employee (17 Feb 2025 to 31 Mar 2025)
  • [FCA CF] Material risk taker (6 Oct 2022 to 6 Jun 2025)
• Robert Lee Harley

  IRN RLH01095

  • [FCA CF] Material risk taker (1 Jun 2021 to 31 May 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2025)
  • CF30 Customer (27 Nov 2017 to 8 Dec 2019)
• Robert William Adams

  IRN RWA01006

  • CF8 Apportionment and Oversight (1 Dec 2001 to 30 Jun 2003)
  • CF3 Chief Executive (1 Dec 2001 to 30 Jun 2003)
  • CF1 Director (1 Dec 2001 to 30 Jun 2003)
• Robin Wang

  IRN RXW00361

  • [FCA CF] Client dealing (25 Feb 2022 to 18 Jan 2023)

No changes recorded yet.