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.

• Vijay Tohani

  IRN VXT01013

  • CF30 Customer (1 Nov 2007 to 31 Jul 2008)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
• Vinay Agarwal

  IRN VXA00023

  • [FCA CF] Manager of certification employee (9 Dec 2019 to 27 Nov 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 27 Nov 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 27 Nov 2024)
• Vincent Noorman

  IRN VXN00015

  • 17. Administrative functions in relation to managing investments
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
• Warwick Martin Negus

  IRN WMN00004

  • CF3 Chief Executive (5 Sep 2006 to 6 Dec 2006)
  • CF1 Director (5 Sep 2006 to 1 Jun 2008)
• Wee Li Hee

  IRN WLH01010

  • CF30 Customer (1 Nov 2007 to 20 Aug 2019)
  • CF27 Investment Management (16 Dec 2005 to 31 Oct 2007)
• William Joseph Oulton

  IRN WXO00008

  • [FCA CF] Significant management (14 Nov 2022 to 3 Jan 2023)
  • [FCA CF] Material risk taker (14 Nov 2022 to 3 Jan 2023)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 3 Jan 2023)
  • [FCA CF] Client dealing (9 Dec 2019 to 3 Jan 2023)
• Xihua Chen

  IRN XXC00005

  • [FCA CF] Client dealing (since 6 Jan 2020)
  • [FCA CF] Material risk taker (since 6 Jan 2020)
• Yerravalli Sashipal Reddy

  IRN YSR01001

  • [FCA CF] Significant management (12 Dec 2022 to 15 Aug 2025)
  • [FCA CF] Client dealing (9 Dec 2019 to 15 Aug 2025)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 17 Nov 2023)
  • [FCA CF] Material risk taker (9 Dec 2019 to 15 Aug 2025)
  • CF30 Customer (11 Feb 2009 to 31 Jan 2014)
• Yuan Yuan Wang

  IRN YXW00012

  • [FCA CF] Client dealing (9 Dec 2019 to 20 Jul 2021)
• Ziqi Deng

  IRN ZXD00032

  • [FCA CF] Client dealing (since 5 Jun 2025)

No changes recorded yet.