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

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  • · 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.

• Thomas Greenwood White

  IRN TGW01046

  • [FCA CF] Client dealing (25 Nov 2020 to 31 May 2021)
  • [FCA CF] Functions requiring qualifications (25 Nov 2020 to 31 May 2021)
  • CF30 Customer (3 Mar 2017 to 8 Dec 2019)
• Thomas James Adcock Solomon

  IRN TJS01194

  • CF30 Customer (12 Aug 2016 to 26 Jan 2018)
• Thomas Michael Nelson

  IRN TMN01015

  • [FCA CF] Functions requiring qualifications (25 Nov 2020 to 25 Apr 2023)
  • [FCA CF] Client dealing (25 Nov 2020 to 31 Jul 2024)
  • CF30 Customer (10 Dec 2012 to 8 Dec 2019)
• Timothy Whitmore Newton Guinness

  IRN TWG01005

  • CF21 Investment Adviser (10 Apr 2003 to 2 Jun 2003)
  • CF2 Non Executive Director (1 Dec 2001 to 1 Apr 2003)
  • CF27 Investment Management (1 Dec 2001 to 10 Apr 2003)
• Timothy de Vries Schwarz

  IRN TXS02152

  • [FCA CF] Client dealing (25 Nov 2020 to 30 Jun 2023)
  • [FCA CF] Functions requiring qualifications (25 Nov 2020 to 25 Apr 2023)
  • CF30 Customer (19 Jun 2017 to 8 Dec 2019)
• Tina Gandhi

  IRN TXG00098

  • [FCA CF] Client dealing (since 20 Nov 2024)
• Tom Charles Nickalls

  IRN TCN00010

  • [FCA CF] Client dealing (25 Nov 2020 to 30 Jul 2024)
  • [FCA CF] Functions requiring qualifications (25 Nov 2020 to 25 Apr 2023)
  • CF30 Customer (28 Aug 2015 to 8 Dec 2019)
• Tommy Canty

  IRN TXC00071

  • [FCA CF] Client dealing (since 25 Nov 2020)
• Ullal Bhat

  IRN BXU01040

  • [FCA CF] Client dealing (since 16 May 2024)
• Vanesa Cabo Lopez

  IRN VXC01050

  • CF30 Customer (7 Apr 2008 to 12 Dec 2008)

No changes recorded yet.