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.

• Joseph Ronald Stephens

  IRN JXS00283

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

  IRN JXS01484

  • CF30 Customer (1 Jan 2024 to 18 Jun 2025)
  • [FCA CF] Client dealing (1 Aug 2023 to 18 Jun 2025)
  • [FCA CF] Material risk taker (1 Aug 2023 to 18 Jun 2025)
• Joshua David Barker

  IRN JXB03852

  • CF30 Customer (since 30 Aug 2024)
• Julius Oliver Krishnadasan Bennett

  IRN JXB04217

  • [FCA CF] Material risk taker (since 22 Dec 2025)
• Laura Neill

  IRN LXN00131

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

  IRN LXF00053

  • CF30 Customer (since 30 Aug 2024)
• Lisa Katherine Fox

  IRN LKF01004

  • 14. Managing investments
  • [FCA CF] Functions requiring qualifications (since 12 Jun 2025)
  • [FCA CF] Material risk taker (since 3 Feb 2025)
  • [FCA CF] Client dealing (since 3 Feb 2025)
  • CF30 Customer (since 20 May 2024)
• Loshini Subendran

  IRN LXS00699

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

  IRN MAK01167

  • 14. Managing investments
  • [FCA CF] Manager of certification employee (since 9 Dec 2024)
  • CF1 Director (AR) (since 24 Jun 2024)
  • CF30 Customer (since 31 Oct 2023)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (11 Jun 2018 to 8 Dec 2019)
• Mark Brennan

  IRN MXB04093

  • [FCA CF] Material risk taker (since 14 Apr 2025)
  • [FCA CF] Client dealing (since 14 Apr 2025)

• Guinness Ventures Limited

  FRN 1002971 · Appointed 31 Oct 2023

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