Samuel Charles Wildy

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Where they hold approval

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

GUINNESS ASSET MANAGEMENT LIMITED
FRN 223077
- CF1 Director (AR) (since 20 Mar 2024)
- [FCA CF] Significant management (since 1 Apr 2021)
- [FCA CF] Material risk taker (since 9 Dec 2020)
Guinness Ventures Limited
FRN 1002971
- (6)Employed By (since 20 Mar 2024)
Guinness Atkinson Asset Management, Inc
FRN 223051
- [FCA CF] Material risk taker (since 9 Dec 2020)
Guinness Capital Management Limited
FRN 514988
- [FCA CF] Material risk taker (since 9 Dec 2020)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF30 Customer (1 Nov 2007 to 18 Feb 2009)
- CF21 Investment Adviser (17 Nov 2006 to 31 Oct 2007)

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.