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.

• Mark James Hammonds

  IRN MJH01621

  • [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)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (24 Jul 2013 to 8 Dec 2019)
• Matt Nelson

  IRN MXN00224

  • CF30 Customer (7 Feb 2024 to 12 Apr 2024)
• Matthew Charles Page

  IRN MCP01069

  • [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 (7 Jun 2006 to 31 Oct 2007)
• Neil Malcolm Geoffrey Wilkinson

  IRN NMW01028

  • [FCA CF] Material risk taker (25 Mar 2021 to 28 Apr 2023)
  • [FCA CF] Client dealing (25 Mar 2021 to 28 Apr 2023)
  • [FCA CF] Significant management (25 Mar 2021 to 28 Apr 2023)
• Nicholas Jolyon Haldane Edwards

  IRN NXE01055

  • [FCA CF] Client dealing (9 Dec 2019 to 8 Sep 2025)
  • [FCA CF] Material risk taker (9 Dec 2019 to 8 Sep 2025)
  • CF30 Customer (27 Oct 2018 to 8 Dec 2019)
• Nicholas Martin

  IRN NXM02184

  • [FCA CF] Significant management (since 1 Aug 2023)
  • [FCA CF] Material risk taker (since 1 Aug 2023)
• Patrick Thomas Healey

  IRN PXH00502

  • [FCA CF] Significant management (9 Dec 2021 to 9 Dec 2022)
  • [FCA CF] Material risk taker (9 Dec 2021 to 9 Dec 2022)
• Permjot Singh Valia

  IRN PSV01008

  • CF30 Customer (25 Feb 2008 to 30 Apr 2009)
• Ruth Brooker

  IRN RMB01214

  • [FCA CF] Material risk taker (20 May 2024 to 12 Sep 2024)
  • [FCA CF] Client dealing (20 May 2024 to 12 Sep 2024)
• Sabina Bushra Pasha

  IRN SXP00523

  • [FCA CF] Client dealing (9 Dec 2021 to 23 Dec 2022)
  • [FCA CF] Material risk taker (9 Dec 2021 to 23 Dec 2022)

• Guinness Ventures Limited

  FRN 1002971 · Appointed 31 Oct 2023

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