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.

• Edward William Holroyd Pearce

  IRN EWH01016

  • CF27 Investment Management (7 Jun 2006 to 31 Oct 2006)
• Eric Santa Menargues

  IRN EXS00483

  • [FCA CF] Client dealing (since 18 Dec 2025)
  • [FCA CF] Material risk taker (since 18 Dec 2025)
• Flurry Wright

  IRN FXW00086

  • [FCA CF] Material risk taker (since 12 Apr 2023)
• Francesca Rose Wheble

  IRN FXW00054

  • [FCA CF] Material risk taker (since 7 Jul 2021)
• George William Whear

  IRN GXW00295

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 4 Feb 2025)
  • CF30 Customer (since 1 Jan 2024)
  • [FCA CF] Client dealing (since 9 Dec 2022)
  • [FCA CF] Material risk taker (since 9 Dec 2022)
• Giles Andrew David Robinette

  IRN GAR01072

  • [FCA CF] Manager of certification employee (9 Dec 2020 to 1 Oct 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 11 Apr 2024)
  • [FCA CF] Significant management (9 Dec 2019 to 1 Oct 2024)
  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Oct 2024)
  • CF10 Compliance Oversight (6 Nov 2019 to 8 Dec 2019)
  • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
  • CF13 Finance (16 Aug 2006 to 31 Oct 2007)
• Giles Benjamin James Kidd-May

  IRN GBK01005

  • [FCA CF] Significant management (since 1 Jun 2021)
  • [FCA CF] Material risk taker (since 1 Jun 2021)
• Hugo Vaux

  IRN HXV01138

  • CF1 Director (AR) (since 21 Mar 2024)
  • CF30 Customer (since 31 Oct 2023)
  • [FCA CF] Manager of certification employee (since 9 Dec 2022)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF30 Customer (25 Nov 2017 to 8 Dec 2019)
• Ian Brooke Mortimer

  IRN IBM01011

  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (31 Dec 2007 to 8 Dec 2019)
• Imogen Butterworth

  IRN IXB00209

  • [FCA CF] Material risk taker (9 Dec 2023 to 7 Aug 2024)

• Guinness Ventures Limited

  FRN 1002971 · Appointed 31 Oct 2023

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