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 (no longer approved here)

    FRN 223051

    • [FCA CF] Material risk taker (9 Dec 2019 to 8 Sep 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 8 Sep 2025)
    • CF30 Customer (27 Oct 2018 to 8 Dec 2019)
  • GUINNESS ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 223077

    • [FCA CF] Material risk taker (9 Dec 2019 to 8 Sep 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 8 Sep 2025)
    • CF30 Customer (27 Oct 2018 to 8 Dec 2019)
  • Guinness Capital Management Limited (no longer approved here)

    FRN 514988

    • CF30 Customer (27 Oct 2018 to 8 Dec 2019)
  • Mirabaud Asset Management Limited (no longer approved here)

    FRN 122140

    • CF27 Investment Management (17 Jun 2002 to 13 Sep 2004)
    • CF21 Investment Adviser (17 Jun 2002 to 13 Sep 2004)

Recent activity

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

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