Nicholas Martin

Watch for changes

Where they hold approval

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

Guinness Atkinson Asset Management, Inc
FRN 223051
- [FCA CF] Significant management (since 1 Aug 2023)
- [FCA CF] Material risk taker (since 1 Aug 2023)
GUINNESS ASSET MANAGEMENT LIMITED
FRN 223077
- [FCA CF] Material risk taker (since 1 Aug 2023)
- [FCA CF] Significant management (since 1 Aug 2023)
Guinness Capital Management Limited
FRN 514988
- [FCA CF] Significant management (since 1 Aug 2023)
- [FCA CF] Material risk taker (since 1 Aug 2023)
Robocap Asset Management Limited (no longer approved here)
FRN 954256
- SMF17 Money Laundering Reporting Officer (MLRO) (23 Aug 2022 to 12 Jun 2023)
- SMF16 Compliance Oversight (23 Aug 2022 to 12 Jun 2023)
Sturgeon Ventures LLP (no longer approved here)
FRN 452811
- [FCA CF] Material risk taker (22 Dec 2020 to 31 Jan 2023)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.