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.

• Damien George James Kearney

  IRN DGK01031

  • CF30 Customer (26 Jun 2008 to 31 Jan 2016)
• Damion Marc Kumarasinghe

  IRN DMK01052

  • [FCA CF] Client dealing (since 25 Nov 2020)
  • [FCA CF] Functions requiring qualifications (25 Nov 2020 to 25 Apr 2023)
  • CF30 Customer (20 Aug 2008 to 8 Dec 2019)
• Daniel Arthur Morgan

  IRN DAM01250

  • CF30 Customer (14 Jan 2014 to 8 Dec 2019)
• Daniel Hanbury

  IRN DJH01203

  • [FCA CF] Client dealing (since 8 Nov 2022)
  • [FCA CF] Functions requiring qualifications (8 Nov 2022 to 25 Apr 2023)
  • CF21 Investment Adviser (10 Apr 2003 to 30 Sep 2006)
  • CF27 Investment Management (1 Dec 2001 to 10 Apr 2003)
• Daniel Levi Sacks

  IRN DLS01098

  • CF30 Customer (28 Jul 2009 to 31 Mar 2017)
• Daniel Peter William Harper

  IRN DPH01140

  • [FCA CF] CASS oversight function (25 Nov 2020 to 16 Feb 2024)
• Daria Binert

  IRN DXB00585

  • [FCA CF] Client dealing (14 Dec 2021 to 30 Apr 2024)
• Darpan Singh Harar

  IRN DSH01096

  • [FCA CF] Client dealing (since 25 Nov 2020)
  • [FCA CF] Functions requiring qualifications (25 Nov 2020 to 25 Apr 2023)
  • CF30 Customer (5 Jul 2019 to 8 Dec 2019)
• David Adam McGillveray

  IRN MXD01198

  • [FCA CF] Material risk taker (25 Apr 2023 to 30 Jun 2023)
  • SMF4 Chief Risk (31 Aug 2022 to 30 Jun 2023)
• David Albert Barber

  IRN DAB01194

  • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 22 Oct 2005)
  • CF20 Significant Mgt (Settlements) (1 Dec 2001 to 22 Oct 2005)

No changes recorded yet.