Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Guinness Atkinson Asset Management, Inc
FRN 223051
- [FCA CF] Client dealing (since 14 Apr 2025)
- [FCA CF] Material risk taker (since 14 Apr 2025)
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GUINNESS ASSET MANAGEMENT LIMITED
FRN 223077
- [FCA CF] Material risk taker (since 14 Apr 2025)
- [FCA CF] Client dealing (since 14 Apr 2025)
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- [FCA CF] Client dealing (5 Oct 2020 to 30 Nov 2023)
- [FCA CF] Material risk taker (5 Oct 2020 to 30 Nov 2023)
- [FCA CF] Significant management (5 Oct 2020 to 30 Nov 2023)
- CF30 Customer (7 Feb 2018 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.