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.

• Thomas Richard Prew

  IRN TRP01046

  • [FCA CF] Material risk taker (9 Dec 2019 to 31 Oct 2022)
  • [FCA CF] Significant management (9 Dec 2019 to 31 Oct 2022)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Oct 2022)
  • [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2022)
  • CF30 Customer (23 Nov 2007 to 8 Dec 2019)
• Timothy George Nicholas Hay

  IRN TGH01024

  • [FCA CF] Material risk taker (16 Sep 2025 to 31 Dec 2025)
  • [FCA CF] Client dealing (24 May 2024 to 31 Dec 2025)
• Todd Mathew Prado

  IRN TXP00076

  • [FCA CF] Client dealing (9 Dec 2019 to 10 Mar 2026)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 10 Mar 2026)
  • [FCA CF] Material risk taker (9 Dec 2019 to 10 Mar 2026)
• Todd Warren

  IRN TXW01262

  • CF30 Customer (1 Nov 2007 to 3 Feb 2010)
  • CF27 Investment Management (4 May 2006 to 31 Oct 2007)
• Tomas Pedraza

  IRN TXP01322

  • [FCA CF] Client dealing (9 Dec 2019 to 18 Jan 2023)
• Tracey Tulloch

  IRN TXT01158

  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 20 Dec 2002)
• Trevor Spencer

  IRN TXS01101

  • [FCA CF] Client dealing (9 Dec 2019 to 23 Jan 2026)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 23 Jan 2026)
  • [FCA CF] Material risk taker (9 Dec 2019 to 23 Jan 2026)
  • CF30 Customer (9 Sep 2016 to 8 Dec 2019)
• Tuan Pham

  IRN TXP00186

  • [FCA CF] Client dealing (23 Feb 2022 to 16 Nov 2022)
  • [FCA CF] Material risk taker (23 Feb 2022 to 16 Nov 2022)
• Tyler Thomas

  IRN TXT00187

  • [FCA CF] Client dealing (16 Feb 2023 to 31 Dec 2025)
• Vicky Wai-Choo Kubitscheck

  IRN VWK01003

  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF2 Non Executive Director (24 Jul 2018 to 8 Dec 2019)

No changes recorded yet.