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.

• Sachin Oza

  IRN SXO01477

  • CF30 Customer (10 Feb 2017 to 31 Jul 2017)
• Sagar Dhiran Thanki

  IRN SXT00127

  • [FCA CF] Client dealing (since 9 Dec 2020)
  • [FCA CF] Material risk taker (since 9 Dec 2020)
• Samira Licia Rudig-Sotomayor

  IRN SXR02484

  • CF30 Customer (12 Jul 2016 to 6 Jul 2018)
• Samuel Charles Wildy

  IRN SCW01105

  • CF1 Director (AR) (since 20 Mar 2024)
  • [FCA CF] Significant management (since 1 Apr 2021)
  • [FCA CF] Material risk taker (since 9 Dec 2020)
• Sharukh Malik

  IRN SXM03973

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF30 Customer (18 Jul 2016 to 8 Dec 2019)
• Stephen Anthony Williams

  IRN SAW01206

  • CF30 Customer (10 Feb 2017 to 31 Jul 2017)
• Thomas Edmond John Ward

  IRN TXW00450

  • CF30 Customer (since 21 Mar 2026)
• Thomas Michael Nelson

  IRN TMN01015

  • CF30 Customer (1 Nov 2007 to 14 Aug 2012)
  • CF27 Investment Management (7 Nov 2005 to 31 Oct 2007)
• Timothy Whitmore Newton Guinness

  IRN TWG01005

  • CF1 Director (AR) (since 31 Oct 2023)
  • SMF9 Chair of the Governing Body (since 16 Mar 2020)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF1 Director (24 Apr 2003 to 8 Dec 2019)
  • CF8 Apportionment and Oversight (24 Apr 2003 to 31 Oct 2007)
  • CF27 Investment Management (24 Apr 2003 to 31 Oct 2007)
  • CF10 Compliance Oversight (24 Apr 2003 to 7 Nov 2019)
  • CF3 Chief Executive (24 Apr 2003 to 4 Dec 2019)
• Valerie Liling Yuen-Yeun Huang

  IRN VXH00080

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

• Guinness Ventures Limited

  FRN 1002971 · Appointed 31 Oct 2023

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