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.

• Mark Anthony Lacey

  IRN MAL01067

  • CF30 Customer (18 Feb 2008 to 11 Jul 2012)
• Mark Denny

  IRN MAD01044

  • [FCA CF] Client dealing (25 Nov 2020 to 12 Mar 2021)
  • [FCA CF] Functions requiring qualifications (25 Nov 2020 to 12 Mar 2021)
  • 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)
• Mark Edward John Thompsett

  IRN MET01038

  • CF15 Internal Audit (1 Dec 2001 to 22 Mar 2004)
• Mark Herbert Breedon

  IRN MHB01008

  • [FCA CF] Material risk taker (25 Apr 2023 to 31 Dec 2023)
  • [FCA CF] Client dealing (25 Nov 2020 to 31 Dec 2023)
  • [FCA CF] Functions requiring qualifications (25 Nov 2020 to 25 Apr 2023)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (16 Apr 2003 to 31 Oct 2007)
• Mark Ivan Samuelson

  IRN MIS01030

  • CF1 Director (1 Dec 2001 to 22 Nov 2013)
• Mark Jackson Sloan

  IRN MJS01491

  • CF30 Customer (3 Jan 2008 to 31 Jul 2016)
• Mark Ledger-Evans

  IRN MXE01460

  • [FCA CF] Functions requiring qualifications (25 Nov 2020 to 25 Apr 2023)
  • [FCA CF] Client dealing (25 Nov 2020 to 17 Jun 2025)
  • CF30 Customer (1 Feb 2012 to 8 Dec 2019)
• Mark Wynne-Jones

  IRN MXW01324

  • CF30 Customer (1 Nov 2007 to 30 Sep 2016)
  • CF21 Investment Adviser (9 May 2006 to 31 Oct 2007)
• Martijn Proos

  IRN MXP00835

  • [FCA CF] Client dealing (since 19 Mar 2024)
• Matthew Barton

  IRN MXB00906

  • [FCA CF] Client dealing (since 30 May 2022)

No changes recorded yet.