Guinness Capital Management Limited

• Principal Place of Business

  18 Smith Square

  London

  SW1P 3HZ

  UNITED KINGDOM

  Phone

  +4402072225703

  Web

  https://www.guinnessgi.com

• Complaints Contact

  18 Smith Square

  London

  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, Spread Bet, 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, 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, Spread Bet, 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, 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, Spread Bet, 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, Certificates representing certain security, 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, 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, Spread Bet, Unit, Warrant

• Investment Setup

  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, Spread Bet, 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 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, Spread Bet, 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.

• Andrew Everard Martin Smith

  IRN AGM01082

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF30 Customer (1 Apr 2010 to 8 Dec 2019)
  • CF1 Director (1 Apr 2010 to 8 Dec 2019)
• Caroline Posse

  IRN CXP00265

  • [FCA CF] Material risk taker (9 Dec 2020 to 6 Jun 2025)
• Charlotte Warre

  IRN CXW00292

  • [FCA CF] Material risk taker (since 9 Dec 2020)
• Christopher F P Villiers

  IRN CFV01004

  • CF30 Customer (8 Jun 2018 to 8 Dec 2019)
• Deepti Balloo

  IRN DXB02199

  • SMF16 Compliance Oversight (since 11 Apr 2024)
  • [FCA CF] Material risk taker (since 1 Mar 2023)
  • [FCA CF] Manager of certification employee (since 1 Mar 2023)
  • [FCA CF] Significant management (since 1 Mar 2023)
• Edmund James Harriss

  IRN EJH01029

  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • CF1 Director (1 Apr 2010 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (1 Apr 2010 to 8 Dec 2019)
  • CF30 Customer (1 Apr 2010 to 8 Dec 2019)
• Edward Benjamin Newton Guinness

  IRN EBG01003

  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Material risk taker (since 9 Dec 2019)
  • CF1 Director (1 Apr 2010 to 8 Dec 2019)
  • CF30 Customer (1 Apr 2010 to 8 Dec 2019)
• Giles Andrew David Robinette

  IRN GAR01072

  • [FCA CF] Material risk taker (9 Dec 2019 to 1 Oct 2024)
  • SMF16 Compliance Oversight (9 Dec 2019 to 11 Apr 2024)
  • CF10 Compliance Oversight (6 Nov 2019 to 8 Dec 2019)
  • CF28 Systems and controls (1 Apr 2010 to 8 Dec 2019)
• Hugo Vaux

  IRN HXV01138

  • CF30 Customer (25 Nov 2017 to 8 Dec 2019)
• Ian Brooke Mortimer

  IRN IBM01011

  • CF30 Customer (1 Apr 2010 to 8 Dec 2019)

No changes recorded yet.