Deepti Balloo

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Guinness Atkinson Asset Management, Inc

    FRN 223051

    • SMF16 Compliance Oversight (since 11 Apr 2024)
    • [FCA CF] Significant management (since 1 Mar 2023)
    • [FCA CF] Manager of certification employee (since 1 Mar 2023)
    • [FCA CF] Material risk taker (since 1 Mar 2023)
  • GUINNESS ASSET MANAGEMENT LIMITED

    FRN 223077

    • SMF16 Compliance Oversight (since 11 Apr 2024)
    • [FCA CF] Manager of certification employee (since 1 Mar 2023)
    • [FCA CF] Material risk taker (since 1 Mar 2023)
    • [FCA CF] Significant management (since 1 Mar 2023)
  • Guinness Capital Management Limited

    FRN 514988

    • SMF16 Compliance Oversight (since 11 Apr 2024)
    • [FCA CF] Significant management (since 1 Mar 2023)
    • [FCA CF] Manager of certification employee (since 1 Mar 2023)
    • [FCA CF] Material risk taker (since 1 Mar 2023)
  • Troy Asset Management Limited (no longer approved here)

    FRN 195764

    • CF11 Money Laundering Reporting (2 Jul 2012 to 1 Jul 2015)
    • CF10 Compliance Oversight (2 Jul 2012 to 1 Jul 2015)

Recent activity

Updates to this individual's record on the FCA register.

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