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.

• Ivor Leslie McKee

  IRN ILM01009

  • [FCA CF] Significant management (since 5 Jun 2024)
  • [FCA CF] Material risk taker (since 5 Jun 2024)
• Jack William Nikolaos Drew

  IRN JXD00693

  • [FCA CF] Material risk taker (since 9 Dec 2022)
  • [FCA CF] Client dealing (since 9 Dec 2022)
• James Foster Weir

  IRN JFW01074

  • CF30 Customer (12 Nov 2009 to 30 Aug 2013)
• James John Anthony Fox

  IRN JXF00337

  • CF30 Customer (1 Jan 2024 to 31 Jul 2024)
  • [FCA CF] Client dealing (9 Dec 2021 to 31 Jul 2024)
  • [FCA CF] Material risk taker (9 Dec 2021 to 31 Jul 2024)
• James Joseph Atkinson

  IRN JJA01021

  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF1 Director (24 Apr 2003 to 8 Dec 2019)
• Jamie Philip Rosser Melrose

  IRN JPR01174

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Material risk taker (since 9 Dec 2020)
• Johan Fogsgaard

  IRN JXF14731

  • [FCA CF] Material risk taker (since 5 Jun 2025)
• John-Paul Hodder-Williams

  IRN JXH01973

  • [FCA CF] Significant management (since 16 Oct 2024)
  • [FCA CF] Client dealing (since 16 Oct 2024)
  • [FCA CF] Material risk taker (since 16 Oct 2024)
• Jonathan Charles Waghorn

  IRN JCW01111

  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Manager of certification employee (since 9 Dec 2019)
  • [FCA CF] Significant management (since 9 Dec 2019)
  • CF30 Customer (11 Sep 2013 to 8 Dec 2019)
• Jordan Mahesh Patel

  IRN JMP01247

  • [FCA CF] Client dealing (since 5 Dec 2024)
  • [FCA CF] Material risk taker (since 5 Dec 2024)

• Guinness Ventures Limited

  FRN 1002971 · Appointed 31 Oct 2023

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