GUINNESS ASSET MANAGEMENT LIMITED

• Principal Place of Business

  Guinness Asset Management

  18 Smith Square

  London

  Westminster

  SW1P 3HZ

  UNITED KINGDOM

  Phone

  +4402072225703

  Web

  https://www.guinnessgi.com

• Complaints Contact

  Guinness Asset Management

  18 Smith Square

  London

  Westminster

  SW1P 3HZ

  UNITED KINGDOM

  Phone

  +4402072225703

• 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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  • · 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.

• Authorised to Operate

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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

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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.

• 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

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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.

• 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.

• Runs Investment Funds

• 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

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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.

• Private Investment Funds

• 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.

• Christopher F P Villiers

  IRN CFV01004

  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Apr 2021)
  • [FCA CF] Client dealing (9 Dec 2019 to 1 Apr 2021)
  • CF30 Customer (8 Jun 2018 to 8 Dec 2019)
• Daniel Richard Lloyd Hobster

  IRN DRH01161

  • [FCA CF] Material risk taker (9 Dec 2022 to 13 Jun 2024)
  • [FCA CF] Client dealing (9 Dec 2022 to 13 Jun 2024)
• David Benjamin Freeder

  IRN DBF01025

  • CF30 Customer (1 Jan 2024 to 5 Apr 2024)
  • [FCA CF] Client dealing (1 Mar 2022 to 5 Apr 2024)
  • [FCA CF] Material risk taker (1 Mar 2022 to 5 Apr 2024)
• David James Sheppard

  IRN DJS01258

  • [FCA CF] Client dealing (25 Mar 2021 to 28 Apr 2023)
  • [FCA CF] Significant management (25 Mar 2021 to 28 Apr 2023)
  • [FCA CF] Material risk taker (25 Mar 2021 to 28 Apr 2023)
• Dayrell Shane Gallwey

  IRN DSG01021

  • 14. Managing investments
  • CF30 Customer (since 31 Oct 2023)
  • CF1 Director (AR) (since 31 Oct 2023)
  • CF3 Chief Executive (AR) (since 31 Oct 2023)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (8 Jul 2013 to 8 Dec 2019)
• Deborah Jane Kay

  IRN DXK00074

  • [FCA CF] Manager of certification employee (since 12 Apr 2023)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
• Deepti Balloo

  IRN DXB02199

  • SMF16 Compliance Oversight (since 11 Apr 2024)
  • [FCA CF] Manager of certification employee (since 1 Mar 2023)
  • [FCA CF] Significant management (since 1 Mar 2023)
  • [FCA CF] Material risk taker (since 1 Mar 2023)
• Eamon Devaney-Dykes

  IRN EXD00262

  • [FCA CF] Material risk taker (since 5 Dec 2024)
• Edmund James Harriss

  IRN EJH01029

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (24 Apr 2003 to 31 Oct 2007)
  • CF11 Money Laundering Reporting (24 Apr 2003 to 8 Dec 2019)
  • CF1 Director (24 Apr 2003 to 8 Dec 2019)
• Edward Benjamin Newton Guinness

  IRN EBG01003

  • 14. Managing investments
  • CF30 Customer (since 31 Oct 2023)
  • CF1 Director (AR) (since 31 Oct 2023)
  • [FCA CF] Manager of certification employee (since 25 Mar 2021)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF3 Chief Executive (27 Nov 2019 to 8 Dec 2019)
  • CF1 Director (27 Nov 2019 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF27 Investment Management (21 Aug 2006 to 31 Oct 2007)

• Guinness Ventures Limited

  FRN 1002971 · Appointed 31 Oct 2023

No changes recorded yet.