NINETY ONE UK LIMITED

• Principal Place of Business

  55 Gresham Street

  .

  London

  EC2V 7EL

  UNITED KINGDOM

  Phone

  +442039382000

  Web

  https://www.ninetyone.com

• Complaints Contact

  Ninety One UK Ltd, 55 Gresham Street

  London

  City Of London

  EC2V 7EL

  UNITED KINGDOM

  Phone

  +442039382000

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Limited to advisory-only activities and in carrying on these activities to the customer types "professional client" and "eligible counterparty".
  • · 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

  For Eligible Counterparty, Professional, Retail (Investment)

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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, Retail (Investment), 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Limited to sub-underwriting on behalf of a customer and in carrying on such activities to the specified investment type "share", "debenture", "government and public security", "warrant", "certificate representing certain security", "unit" and "right in interest in investments - security", (when the latter is associated with these specified investments).
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities for the specified customer types.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

  Show 4 limitations Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.
  • · Limited to transaction only activities
  • · Investment activity in "rights to or interests in investments (contractually based)" is limited to investment types granted for this activity.
  • · Limited to investment management activities for the specified customer types.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), 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, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, 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.

• Domenico Ferrini

  IRN DXF01091

  • SMF18 Other Overall Responsibility (since 1 Jul 2022)
  • [FCA CF] Client dealing (since 25 Nov 2020)
  • [FCA CF] Material risk taker (since 25 Nov 2020)
  • SMF3 Executive Director (5 May 2021 to 1 Jul 2022)
  • [FCA CF] Functions requiring qualifications (25 Nov 2020 to 25 Apr 2023)
  • SMF1 Chief Executive (9 Dec 2019 to 5 May 2021)
  • CF3 Chief Executive (1 Oct 2018 to 8 Dec 2019)
  • CF29 Significant management (4 Mar 2014 to 1 Oct 2018)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (27 Aug 2004 to 31 Oct 2007)
  • CF1 Director (27 Aug 2004 to 22 Nov 2013)
• Douglas Terence Blatch

  IRN DTB01033

  • [FCA CF] Client dealing (since 25 Nov 2020)
  • [FCA CF] Functions requiring qualifications (25 Nov 2020 to 25 Apr 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (10 Apr 2003 to 31 Oct 2007)
  • CF27 Investment Management (1 Dec 2001 to 10 Apr 2003)
• Duncan David Coombe

  IRN DXC08167

  • [FCA CF] Material risk taker (since 25 Apr 2023)
  • SMF18 Other Overall Responsibility (since 1 Jul 2022)
  • [FCA CF] Significant management (25 Nov 2020 to 8 Apr 2025)
  • CF1 Director (30 Nov 2018 to 9 Dec 2019)
• Edmund James Harriss

  IRN EJH01029

  • CF21 Investment Adviser (10 Apr 2003 to 1 May 2003)
  • CF27 Investment Management (1 Dec 2001 to 10 Apr 2003)
• Edmund Yat Man Ng

  IRN EYN01001

  • CF30 Customer (1 Apr 2014 to 15 Aug 2016)
• Edward Benjamin Harry Wood

  IRN EXW00070

  • [FCA CF] Functions requiring qualifications (19 May 2021 to 25 Apr 2023)
  • [FCA CF] Client dealing (19 May 2021 to 6 Mar 2026)
• Edward Ewart Evers

  IRN EEE01006

  • [FCA CF] Client dealing (since 25 Nov 2020)
• Elizabeth Mary Broughton

  IRN EMB01097

  • CF28 Systems and controls (9 Jul 2015 to 3 Oct 2019)
• Elizabeth Passey

  IRN EXP01043

  • CF30 Customer (1 Mar 2013 to 30 Jun 2014)
• Elizabeth de Vries

  IRN EXD17934

  • [FCA CF] Material risk taker (since 25 Apr 2023)
  • SMF5 Head of Internal Audit (since 1 Jul 2022)
  • [FCA CF] Significant management (25 Nov 2020 to 27 Apr 2023)
  • CF28 Systems and controls (3 Oct 2019 to 8 Dec 2019)

No changes recorded yet.