Edmund James Harriss

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

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [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)
    • CF1 Director (16 Nov 2009 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (24 Apr 2003 to 8 Dec 2019)
    • CF27 Investment Management (24 Apr 2003 to 31 Oct 2007)
  • GUINNESS ASSET MANAGEMENT LIMITED

    FRN 223077

    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (24 Apr 2003 to 31 Oct 2007)
    • CF1 Director (24 Apr 2003 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (24 Apr 2003 to 8 Dec 2019)
  • Guinness Capital Management Limited

    FRN 514988

    • SMF3 Executive Director (since 9 Dec 2019)
    • 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)
    • 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)
  • NINETY ONE UK LIMITED (no longer approved here)

    FRN 122420

    • CF21 Investment Adviser (10 Apr 2003 to 1 May 2003)
    • CF27 Investment Management (1 Dec 2001 to 10 Apr 2003)
  • Ninety One Fund Managers UK Limited (no longer approved here)

    FRN 145007

    • CF27 Investment Management (1 Dec 2001 to 1 May 2003)

Recent activity

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

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