Statistiche di base
| CIK | 919160 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Guinness Atkinson Funds - SmartETFs Asia Pacific Dividend Builder ETF
SEC Filings (Chronological Order)
Questa pagina fornisce un elenco completo e cronologico dei depositi SEC, esclusi i documenti di proprietà che forniamo altrove.
| November 1, 2024 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE Arca hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 12, 2024, pursuant to the provisions of Rule 12d2-2 (a). |
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| August 6, 2024 |
AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT GUINNESS ATKINSON FUNDS Exhibit (h)(6)(a) AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT GUINNESS ATKINSON FUNDS AGREEMENT, dated as of December 1, 2023, by and between GUINNESS ATKINSON FUNDS (the “Trust”), on behalf of its series as listed on Schedule A to this Agreement (each, a “Fund”), and GUINNESS ATKINSON ASSET MANAGEMENT, INC. |
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| August 6, 2024 |
AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT GUINNESS ATKINSON FUNDS Exhibit (h)(6)(b) AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT GUINNESS ATKINSON FUNDS AGREEMENT, dated as of December 1, 2023, by and between GUINNESS ATKINSON FUNDS (the “Trust”), on behalf of its series as listed on Schedule A to this Agreement (each, an “ETF”), and GUINNESS ATKINSON ASSET MANAGEMENT, INC. |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-1A AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON AUGUST 6, 2024 1933 Act File No. |
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| July 5, 2024 |
Guinness Atkinson Funds 225 South Lake Avenue, Suite 201 Pasadena, CA 91101 Guinness Atkinson Funds 225 South Lake Avenue, Suite 201 Pasadena, CA 91101 VIA EDGAR July 5, 2024 Mr. |
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| January 28, 2022 |
Guinness Atkinson Funds 225 S. Lake Avenue, Suite 216 Pasadena, CA 91101 AW 1 fp0072570aw.htm Guinness Atkinson Funds 225 S. Lake Avenue, Suite 216 Pasadena, CA 91101 January 28, 2022 VIA EDGAR Securities and Exchange Commission 100 F Street N.E. Division of Investment Management Washington, D.C. 20549 Re: Guinness Atkinson Funds (the “Trust”) (CIK: 0000919160) Post-Effective Amendment No. 107 to the Trust’s Registration Statement (Accession No. 0001398344-20-015306) F |
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| December 28, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 GUINNESS ATKINSON FUNDS (Exact name of registrant as specified in its charter) Delaware 85-3275384 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No. |
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| December 22, 2021 |
FORM 25 United States Securities and Exchange Commission Washington, D.C. 20549 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 33-75340 Issuer: Guinness Atkinson Funds Exchange: Cboe BZX Exchange, Inc. (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or r |
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| November 29, 2021 |
GUINNESS ATKINSON GLOBAL ENERGY FUND GUINNESS ATKINSON GLOBAL ENERGY FUND Schedule of Investments at September 30, 2021 (Unaudited) Shares Common Stocks: 98. |
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| November 29, 2021 |
GUINNESS ATKINSON GLOBAL INNOVATORS FUND GUINNESS ATKINSON GLOBAL INNOVATORS FUND Schedule of Investments at September 30, 2021 (Unaudited) Shares Common Stocks: 98. |
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| November 29, 2021 |
SmartETFs Sustainable Energy II ETF SmartETFs Sustainable Energy II ETF Schedule of Investments at September 30, 2021 (Unaudited) Shares Common Stocks: 95. |
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| November 29, 2021 |
SmartETFs Dividend Builder ETF SmartETFs Dividend Builder ETF Schedule of Investments at September 30, 2021 (Unaudited) Shares Common Stocks: 97. |
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| November 29, 2021 |
SmartETFs Asia Pacific Dividend Builder ETF SmartETFs Asia Pacific Dividend Builder ETF Schedule of Investments at September 30, 2021 (Unaudited) Shares Common Stocks: 99. |
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| November 29, 2021 |
GUINNESS ATKINSON RENMINBI YUAN & BOND FUND GUINNESS ATKINSON RENMINBI YUAN & BOND FUND Schedule of Investments at September 30, 2021 (Unaudited) Principal Amount (CNH) Corporate Bonds: 78. |
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| November 29, 2021 |
GUINNESS ATKINSON ALTERNATIVE ENERGY FUND GUINNESS ATKINSON ALTERNATIVE ENERGY FUND Schedule of Investments at September 30, 2021 (Unaudited) Shares Common Stocks: 95. |
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| November 29, 2021 |
SmartETFs Advertising & Marketing Technology ETF SmartETFs Advertising & Marketing Technology ETF Schedule of Investments at September 30, 2021 (Unaudited) Shares Common Stocks: 99. |
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| November 29, 2021 |
GUINNESS ATKINSON ASIA FOCUS FUND GUINNESS ATKINSON ASIA FOCUS FUND Schedule of Investments at September 30, 2021 (Unaudited) Shares Common Stocks: 99. |
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| November 29, 2021 |
SmartETFs Smart Transportation & Technology ETF SmartETFs Smart Transportation & Technology ETF Schedule of Investments at September 30, 2021 (Unaudited) Shares Common Stocks: 97. |
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| November 29, 2021 |
GUINNESS ATKINSON CHINA & HONG KONG FUND GUINNESS ATKINSON CHINA & HONG KONG FUND Schedule of Investments at September 30, 2021 (Unaudited) Shares Common Stocks: 100. |
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| May 28, 2021 |
SmartETFs Advertising & Marketing Technology ETF SmartETFs Advertising & Marketing Technology ETF Schedule of Investments at March 31, 2021 (Unaudited) Shares Common Stocks: 99. |
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| May 28, 2021 |
SmartETFs Sustainable Energy II ETF Schedule of Investments at March 31, 2021 (Unaudited) Shares Common Stocks: 99. |
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| May 28, 2021 |
SmartETFs Dividend Builder ETF SmartETFs Dividend Builder ETF Schedule of Investments at March 31, 2021 (Unaudited) Shares Common Stocks: 98. |
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| May 28, 2021 |
ADR - American Depository Receipt GUINNESS ATKINSON GLOBAL INNOVATORS FUND Schedule of Investments at March 31, 2021 (Unaudited) Shares Common Stocks: 99. |
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| May 28, 2021 |
SmartETFs Asia Pacific Dividend Builder ETF SmartETFs Asia Pacific Dividend Builder ETF Schedule of Investments at March 31, 2021 (Unaudited) Shares Common Stocks: 97. |
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| May 28, 2021 |
GUINNESS ATKINSON CHINA & HONG KONG FUND GUINNESS ATKINSON CHINA & HONG KONG FUND Schedule of Investments at March 31, 2021 (Unaudited) Shares Common Stocks: 99. |
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| May 28, 2021 |
GUINNESS ATKINSON GLOBAL ENERGY FUND GUINNESS ATKINSON GLOBAL ENERGY FUND Schedule of Investments at March 31, 2021 (Unaudited) Shares Common Stocks: 96. |
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| May 28, 2021 |
GUINNESS ATKINSON ALTERNATIVE ENERGY FUND GUINNESS ATKINSON ALTERNATIVE ENERGY FUND Schedule of Investments at March 31, 2021 (Unaudited) Shares Common Stocks: 99. |
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| May 28, 2021 |
CNH - The official currency of the People’s Republic of China. GUINNESS ATKINSON RENMINBI YUAN & BOND FUND Schedule of Investments at March 31, 2021 (Unaudited) Principal Amount (CNH) Corporate Bonds: 82. |
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| May 28, 2021 |
SmartETFs Smart Transportation & Technology ETF SmartETFs Smart Transportation & Technology ETF Schedule of Investments at March 31, 2021 (Unaudited) Shares Common Stocks: 96. |
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| May 28, 2021 |
GUINNESS ATKINSON ASIA FOCUS FUND GUINNESS ATKINSON ASIA FOCUS FUND Schedule of Investments at March 31, 2021 (Unaudited) Shares Common Stocks: 99. |
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| April 6, 2021 |
Form of opinion as to tax matters and consent – filed herewith. EX-99.16.12 2 fp0064027ex991612.htm March 26, 2021 Guinness Atkinson Funds 225 South Lake Avenue, Suite 216 Pasadena, CA 91101 Guinness Atkinson Funds 225 South Lake Avenue, Suite 216 Pasadena, CA 91101 Re: Fund Reorganization Ladies and Gentlemen: We have acted as counsel to: (i) the Target Company1, on behalf of each Target Fund, and (ii) the Acquiring Company, on behalf of each Acquiring Fund i |
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| April 6, 2021 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON APRIL 6, 2021 1933 Act File No. |
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| March 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 GUINNESS ATKINSON FUNDS (Exact name of registrant as specified in its charter) Delaware 20-4455655 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No. |
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| March 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 GUINNESS ATKINSON FUNDS (Exact name of registrant as specified in its charter) Delaware 45-4359270 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No. |
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| March 1, 2021 |
225 South Lake Avenue, Suite 216 Pasadena, California 91101 225 South Lake Avenue, Suite 216 Pasadena, California 91101 March 1, 2021 VIA EDGAR Kimberly Browning U. |
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| February 26, 2021 |
February 26, 2021 VIA EDGAR Kimberly Browning U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Guinness Atkinson Funds, File No. 811-08360 (the ?Registrant?), Form N-14 (File No. 333-248959) on behalf of Guinness Atkinson Asia Pacific Dividend Builder Fund and Guinness Atkinson Dividend Builder Fund (the ?Funds?) - Request for Acceleration Dear Ms. Browning: On S |
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| February 26, 2021 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Pre- Effective Amendment #6 to the Registration Statement on Form N-14 and to the use of our report dated March 2, 2020 on the financial statements and financial highlights of Guinness Atkinson Asia Pacific Dividend Builder Fund and Guinness Atkinson Dividend Builder Fund, each a series of Guinness Atkinson Funds. |
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| February 26, 2021 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON February 26, 2021 1933 Act File No. |
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| February 26, 2021 |
February 26, 2021 Guinness Atkinson Funds 225 South Lake Avenue, Suite 216 Pasadena, CA 91101 Re: Registration Statement on Form N-14 as it relates to Guinness Atkinson Asia Pacific Dividend Builder Fund and Guinness Atkinson Dividend Builder Fund in connection with their respective reorganizations into SmartETFs Asia Pacific Dividend Builder ETF and SmartETFs Dividend Builder ETF Ladies and Gentlemen: We have acted as counsel to Guinness Atkinson Funds, a Delaware statutory trust (the ?Trust?), in connection with the filing with the Securities and Exchange Commission (the ?SEC?) of the Trust?s Registration Statement on Form N-14 (File Nos. |
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| February 24, 2021 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON February 23, 2021 1933 Act File No. |
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| February 24, 2021 |
February 23, 2021 Guinness Atkinson Funds 225 South Lake Avenue, Suite 216 Pasadena, CA 91101 Re: SmartETFs Asia Pacific Dividend Builder ETF SmartETFs Dividend Builder ETF Ladies and Gentlemen: We have acted as counsel to Guinness Atkinson Funds, a Delaware statutory trust (the ?Trust?), in connection with the filing with the Securities and Exchange Commission (the ?SEC?) of the Trust?s Registration Statement on Form N-14 (File Nos. |
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| February 24, 2021 |
September 21, 2020 Guinness Atkinson Funds 225 South Lake Avenue, Suite 216 Pasadena, CA 91101 Re: SmartETFs Asia Pacific Dividend Builder ETF SmartETFs Dividend Builder ETF Ladies and Gentlemen: We have acted as counsel to Guinness Atkinson Funds (formerly named Guinness Flight Investment Funds and Investec Funds), a Delaware statutory trust (the ?Trust?), in connection with the filing with the Securities and Exchange Commission (the ?SEC?) of Post-Effective Amendment No. |
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| February 24, 2021 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON FEBRUARY 24, 2021 1933 Act File No. |
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| February 18, 2021 |
FORM OF transfer agency and registrar services agreement This Transfer Agency and Registrar Services Agreement (this ?Agreement?), dated as of [?], 201[?] (the ?Effective Date?), is entered into by and between [?], a [?] [corporation][limited liability company] (the ?Company?), and American Stock Transfer & Trust Company, LLC, a New York limited liability trust company (?AST?; together with the Company, the ?Parties?; each, the ?Party?). |
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| February 18, 2021 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON February 17, 2021 1933 Act File No. |
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| February 18, 2021 |
Consent of Tait, Weller & Baker LLP– filed herewith. EX-99.16.14.A 3 fp0062456ex991614a.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Pre-Effective Amendment #4 to the Registration Statement on Form N-14 and to the use of our report dated March 2, 2020 on the financial statements and financial highlights of Guinness Atkinson Asia Pacific Dividend Builder Fund and Guinness Atkinson Divide |
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| January 5, 2021 |
Consent of Tait, Weller & Baker LLP– filed herewith. CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Pre-Effective Amendment 3 to the Registration Statement on Form N-14 and to the use of our report dated March 2, 2020 on the financial statements and financial highlights of Guinness Atkinson Asia Pacific Dividend Builder Fund and Guinness Atkinson Dividend Builder Fund, each a series of Guinness Atkinson Funds. |
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| January 5, 2021 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON January 4, 2021 1933 Act File No. |
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| December 21, 2020 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON December 18 2020 1933 Act File No. |
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| December 21, 2020 |
Consent of Tait, Weller & Baker LLP– filed herewith. CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Pre-Effective Amendment 2 to the Registration Statement on Form N-14 and to the use of our report dated March 2, 2020 on the financial statements and financial highlights of Guinness Atkinson Asia Pacific Dividend Builder Fund and Guinness Atkinson Dividend Builder Fund, each a series of Guinness Atkinson Funds. |
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| November 25, 2020 |
GUINNESS ATKINSON GLOBAL INNOVATORS FUND GUINNESS ATKINSON GLOBAL INNOVATORS FUND Schedule of Investments at September 30, 2020 (Unaudited) Shares Common Stocks: 98. |
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| November 25, 2020 |
ADR - American Depository Receipt GUINNESS ATKINSON CHINA & HONG KONG FUND Schedule of Investments at September 30, 2020 (Unaudited) Shares Common Stocks: 100. |
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| November 25, 2020 |
ADR - American Depository Receipt GUINNESS ATKINSON ASIA FOCUS FUND Schedule of Investments at September 30, 2020 (Unaudited) Shares Common Stocks: 100. |
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| November 25, 2020 |
GUINNESS ATKINSON RENMINBI YUAN & BOND FUND Schedule of Investments at September 30, 2020 (Unaudited) Principal Amount (CNH) Corporate Bonds: 83. |
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| November 25, 2020 |
SmartETFs Smart Transportation & Technology ETF SmartETFs Smart Transportation & Technology ETF Schedule of Investments at September 30, 2020 (Unaudited) Shares Common Stocks: 97. |
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| November 25, 2020 |
GUINNESS ATKINSON GLOBAL ENERGY FUND GUINNESS ATKINSON GLOBAL ENERGY FUND Schedule of Investments at September 30, 2020 (Unaudited) Shares Common Stocks: 97. |
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| November 25, 2020 |
GUINNESS ATKINSON ALTERNATIVE ENERGY FUND GUINNESS ATKINSON ALTERNATIVE ENERGY FUND Schedule of Investments at September 30, 2020 (Unaudited) Shares Common Stocks: 101. |
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| November 25, 2020 |
GUINNESS ATKINSON ASIA PACIFIC DIVIDEND BUILDER FUND GUINNESS ATKINSON ASIA PACIFIC DIVIDEND BUILDER FUND Schedule of Investments at September 30, 2020 (Unaudited) Shares Common Stocks: 98. |
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| November 25, 2020 |
GUINNESS ATKINSON DIVIDEND BUILDER FUND Schedule of Investments at September 30, 2020 (Unaudited) Shares Common Stocks: 98. |
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| November 19, 2020 |
November 19, 2020 Via EDGAR Kimberly Browning, Esq. United States Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 10549 Re: Guinness Atkinson Funds, File Nos. 333-75340; 811-08360 (the ?Registrant?) Dear Ms. Browning: On September 14, 2020, the Registrant filed Post-Effective Amendment No. 112 (?PEA?) on Form N-1A (Accession No. 0001398344-20-018488) with respect to SmartETFs |
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| November 19, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 GUINNESS ATKINSON FUNDS (Exact name of registrant as specified in its charter) Delaware 85-2702921 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No. |
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| November 12, 2020 |
November 11, 2020 Via EDGAR Kimberly Browning, Esq. United States Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 10549 Re: Guinness Atkinson Funds, File Nos. 333-75340; 811-08360 (the ?Registrant?) Dear Ms. Browning: On September 22, 2020, the Registrant filed Form N-14 (Accession No. 0001398344-20-018901) with respect to the conversion of each of Guinness Atkinson Asia Paci |
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| November 12, 2020 |
Consent of Tait, Weller & Baker LLP– filed herewith. EX-99.16.14.A 2 fp0059172ex991614a.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Pre-Effective Amendment 1 of Form N-14 and to the use of our report dated March 2, 2020 on the financial statements and financial highlights of Guinness Atkinson Asia Pacific Dividend Builder Fund and Guinness Atkinson Dividend Builder Fund, each a series |
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| November 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON NOVEMBER 12 2020 1933 Act File No. |
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| November 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 GUINNESS ATKINSON FUNDS (Exact name of registrant as specified in its charter) Delaware 85-3275384 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No. |
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| September 22, 2020 |
GUINNESS ATKINSON FUNDS POWER OF ATTORNEY FOR SECURITIES AND EXCHANGE COMMISSION AND RELATED FILINGS Each of the undersigned Trustees of Guinness Atkinson Funds (the “Trust”) hereby appoints Giles Robinette, Rita Dam and Diane Drake (with full power to each of them to act alone) as his or her attorney-in-fact and agent, in all capacities, to execute and file a Registration Statement of the Trust o |
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| September 22, 2020 |
Consent of Tait, Weller & Baker LLP EX-99.16.14.A 2 fp0057860ex991614a.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment to the Registration Statement on Form N-14 and to the use of our report dated March 2, 2020 on the financial statements and financial highlights of Guinness Atkinson Asia Pacific Dividend Builder Fund and Guinness Atkinson Dividend |
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| September 22, 2020 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON SEPTEMBER 21, 2020 1933 Act File No. |
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| September 21, 2020 |
CORRESP 12 filename12.htm September 21, 2020 Via EDGAR Kimberly Browning, Esq. United States Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 10549 Re: Guinness Atkinson Funds, File Nos. 333-75340; 811-08360 (the “Registrant”) Dear Ms. Browning: On behalf of the Registrant, with respect to SmartETFs Asia Pacific Dividend Builder ETF and SmartETFs Dividend Builder ETF (each a “ |
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| September 14, 2020 |
CORRESP 17 filename17.htm September 8, 2020 Via EDGAR Kimberly Browning United States Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: Guinness Atkinson Funds, File Nos. 33-75340; 811-08360 (the “Registrant”) Dear Ms. Browning: On behalf of the Registrant with respect to Guinness Atkinson Marketing Technology ETF, we are responding to comments from the Staff of the S |
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| May 29, 2020 |
SmartETFs Smart Transportation & Technology ETF SmartETFs Smart Transportation & Technology ETF Schedule of Investments at March 31, 2020 (Unaudited) Shares Common Stocks: 97. |
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| May 29, 2020 |
GUINNESS ATKINSON CHINA & HONG KONG FUND GUINNESS ATKINSON CHINA & HONG KONG FUND Schedule of Investments at March 31, 2020 (Unaudited) Shares Common Stocks: 96. |
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| May 29, 2020 |
GUINNESS ATKINSON ASIA FOCUS FUND GUINNESS ATKINSON ASIA FOCUS FUND Schedule of Investments at March 31, 2020 (Unaudited) Shares Common Stocks: 99. |
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| May 29, 2020 |
GUINNESS ATKINSON ALTERNATIVE ENERGY FUND GUINNESS ATKINSON ALTERNATIVE ENERGY FUND Schedule of Investments at March 31, 2020 (Unaudited) Shares Common Stocks: 97. |
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| May 29, 2020 |
GUINNESS ATKINSON GLOBAL INNOVATORS FUND GUINNESS ATKINSON GLOBAL INNOVATORS FUND Schedule of Investments at March 31, 2020 (Unaudited) Shares Common Stocks: 97. |
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| May 29, 2020 |
GUINNESS ATKINSON RENMINBI YUAN & BOND FUND GUINNESS ATKINSON RENMINBI YUAN & BOND FUND Schedule of Investments at March 31, 2020 (Unaudited) Principal Amount (CNH) Corporate Bonds: 73. |
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| May 29, 2020 |
GUINNESS ATKINSON DIVIDEND BUILDER FUND GUINNESS ATKINSON DIVIDEND BUILDER FUND Schedule of Investments at March 31, 2020 (Unaudited) Shares Common Stocks: 95. |
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| May 29, 2020 |
GUINNESS ATKINSON GLOBAL ENERGY FUND GUINNESS ATKINSON GLOBAL ENERGY FUND Schedule of Investments at March 31, 2020 (Unaudited) Shares Common Stocks: 93. |
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| May 29, 2020 |
GUINNESS ATKINSON ASIA PACIFIC DIVIDEND BUILDER FUND GUINNESS ATKINSON ASIA PACIFIC DIVIDEND BUILDER FUND Schedule of Investments at March 31, 2020 (Unaudited) Shares Common Stocks: 96. |
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| May 15, 2020 |
Guinness Atkinson Funds 225 South Lake Avenue, Suite 216 Pasadena, California 91101 Guinness Atkinson Funds 225 South Lake Avenue, Suite 216 Pasadena, California 91101 May 15, 2020 Securities and Exchange Commission 100 F Street N. |
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| November 27, 2019 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| November 27, 2019 |
IASMX / Guinness Atkinson Asia Focus Fund N-Q - Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-08360 GUINNESS ATKINSON FUNDS (Exact name of registrant as specified in charter) 225 South Lake Avenue, Suite 216 Pasadena, CA 91101 (Address of principal executive offices) (Zip code) James J. A |
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| November 13, 2019 |
IASMX / Guinness Atkinson Asia Focus Fund 8-A12B/A - - 8-A12B/A 1 fp00476318a12ba.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 GUINNESS ATKINSON FUNDS (Exact name of registrant as specified in its charter) Delaware 83-3775810 (State or other jurisdiction of incorporation or organization) (I.R |
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| November 5, 2019 |
IASMX / Guinness Atkinson Asia Focus Fund CORRESP - - CORRESP 1 filename1.htm November 4, 2019 Alexandra C. Alberstadt [email protected] D. +1.212.261.6819 Via EDGAR Kimberly Browning United States Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: Guinness Atkinson Funds, File Nos. 33-75340; 811-08360 (the “Registrant”) Dear Ms. Browning: On behalf of the Registrant with respect to Guinness Atkinson Smart Trans |
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| August 6, 2019 |
Guinness Atkinson Funds 8-A12B - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 GUINNESS ATKINSON FUNDS (Exact name of registrant as specified in its charter) Delaware 83-3775810 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No. |
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| June 28, 2019 |
Guinness Atkinson Funds CORRESP - - CORRESP 1 filename1.htm June 28, 2019 Alexandra C. Alberstadt [email protected] D. +1.212.261.6819 Via EDGAR Kimberly Browning United States Securities and Exchange Commission 100 F. Street, N.E. Washington, DC 20549 Re: Guinness Atkinson Funds, File Nos. 33-75340; 811-08360 (the “Registrant”) Dear Ms. Browning On behalf of the Registrant with respect to Guinness Atkinson Smart Transport |
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| May 30, 2019 |
Guinness Atkinson Funds N-Q - Quarterly Schedule of Portfolio Holdings - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-08360 GUINNESS ATKINSON FUNDS (Exact name of registrant as specified in charter) 225 South Lake Avenue, Suite 216 Pasadena, CA 91101 (Address of principal executive offices) (Zip code) James J. A |
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| May 30, 2019 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| December 21, 2018 |
Guinness Atkinson Funds 225 South Lake Avenue, Suite 216 Pasadena, California 91101 Guinness Atkinson Funds 225 South Lake Avenue, Suite 216 Pasadena, California 91101 Securities and Exchange Commission 100 F Street N. |
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| November 29, 2018 |
Guinness Atkinson Funds N-Q (Quarterly Schedule of Portfolio Holdings) As filed with the Securities and Exchange Commission on May 29, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 29, 2018 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| July 16, 2018 |
Guinness Atkinson Funds CORRESP Guinness Atkinson Funds 225 South Lake Avenue, Suite 201 Pasadena, CA 91101 July 16, 2018 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 Attn: Division of Investment Management Re: Guinness Atkinson Funds File Nos. |
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| May 30, 2018 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| May 30, 2018 |
Guinness Atkinson Funds N-Q (Quarterly Schedule of Portfolio Holdings) As filed with the Securities and Exchange Commission on May 29, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 1, 2018 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Trustees Guinness Atkinson Funds Woodland Hills, California In planning and performing our audits of the financial statements of Guinness Atkinson Asia Focus Fund, Guinness Atkinson China & Hong Kong Fund, Guinness Atkinson Global Innovators Fund, Guinness Atkinson Global Energy Fund, Guinness Atkinson Alternative En |
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| November 29, 2017 |
As filed with the Securities and Exchange Commission on May 29, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 29, 2017 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| May 30, 2017 |
As filed with the Securities and Exchange Commission on May 30, 2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 30, 2017 |
CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| March 1, 2017 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Trustees Guinness Atkinson Funds Woodland Hills, California In planning and performing our audits of the financial statements of Guinness Atkinson Asia Focus Fund, Guinness Atkinson China & Hong Kong Fund, Guinness Atkinson Global Innovators Fund, Guinness Atkinson Global Energy Fund, Guinness Atkinson Alternative En |
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| November 29, 2016 |
As filed with the Securities and Exchange Commission on May 29, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 29, 2016 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| May 27, 2016 |
As filed with the Securities and Exchange Commission on May 29, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 27, 2016 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| February 29, 2016 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Trustees Guinness Atkinson Funds Woodland Hills, California In planning and performing our audits of the financial statements of Guinness Atkinson Asia Focus Fund, Guinness Atkinson China & Hong Kong Fund, Guinness Atkinson Global Innovators Fund, Guinness Atkinson Global Energy Fund, Guinness Atkinson Alternative En |
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| December 31, 2015 |
KRAMER LEVIN NAFTALIS & FRANKEL LLP Alexandra K. Alberstadt Special Counsel Phone 212-715-9151 Fax 212-715-8151 [email protected] December 30, 2015 Via EDGAR Securities and Exchange Commission Washington, D.C. 20549 Re: Guinness Atkinson Funds (?Registrant?), File No. 811-08360, 33-75340 Ladies and Gentlemen: On behalf of the Registrant, we hereby provide you with our responses to the st |
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| December 1, 2015 |
Guinness Atkinson Funds 21550 Oxnard Street, Suite 850 Woodland Hills, CA 91367 Guinness Atkinson Funds 21550 Oxnard Street, Suite 850 Woodland Hills, CA 91367 December 1, 2015 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 Attn: Division of Investment Management Re: Guinness Atkinson Funds File Nos. |
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| November 27, 2015 |
CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| November 27, 2015 |
As filed with the Securities and Exchange Commission on November 26, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 28, 2015 |
Guinness Atkinson Funds 21550 Oxnard Street, Suite 850 Woodland Hills, CA 91367 Guinness Atkinson Funds 21550 Oxnard Street, Suite 850 Woodland Hills, CA 91367 July 28, 2015 Securities and Exchange Commission 100 F Street N. |
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| May 29, 2015 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| May 29, 2015 |
As filed with the Securities and Exchange Commission on May 29, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 26, 2014 |
As filed with the Securities and Exchange Commission on November 26, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 26, 2014 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| May 29, 2014 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| May 29, 2014 |
Quarterly Schedule of Portfolio Holdings - As filed with the Securities and Exchange Commission on May 29, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 3, 2014 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Trustees Guinness Atkinson Funds Woodland Hills, California In planning and performing our audits of the financial statements of Guinness Atkinson Asia Focus Fund, Guinness Atkinson China & Hong Kong Fund, Guinness Atkinson Global Innovators Fund, Guinness Atkinson Global Energy Fund, Guinness Atkinson Alternative En |
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| November 26, 2013 |
Quarterly Schedule of Portfolio Holdings - As filed with the Securities and Exchange Commission on November 26, 2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 26, 2013 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| October 22, 2013 |
Guinness Atkinson Funds 21550 Oxnard Street, Suite 850 Woodland Hills, CA 91367 October 21, 2013 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 Attn: Division of Investment Management Re: Guinness Atkinson Funds File Nos. |
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| May 30, 2013 |
Quarterly Schedule of Portfolio Holdings - As filed with the Securities and Exchange Commission on May 29, 2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 30, 2013 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
|
| March 1, 2013 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Trustees Guinness Atkinson Funds Woodland Hills, California In planning and performing our audits of the financial statements of Guinness Atkinson Asia Focus Fund, Guinness Atkinson China & Hong Kong Fund, Guinness Atkinson Global Innovators Fund, Guinness Atkinson Global Energy Fund, Guinness Atkinson Alternative En |
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| November 27, 2012 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| November 27, 2012 |
Quarterly Schedule of Portfolio Holdings - As filed with the Securities and Exchange Commission on November 27, 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 30, 2012 |
Quarterly Schedule of Portfolio Holdings - As filed with the Securities and Exchange Commission on May 30, 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 30, 2012 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
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| May 16, 2012 |
TAIT, WELLER & BAKER LLP Certified Public Accountants REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Trustees Guinness Atkinson Funds Woodland Hills, California In planning and performing our audits of the financial statements of Guinness Atkinson Asia Focus Fund, Guinness Atkinson China & Hong Kong Fund, Guinness Atkinson Global Innovators Fund, Guinness Atkinso |
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| March 30, 2012 |
CORRESP 11 filename11.htm KRAMER LEVIN NAFTALIS & FRANKEL LLP March 29, 2012 Via EDGAR Securities & Exchange Commission Division of Investment Management 100 F. Street N.E. Washington, DC 25049 Re: Guinness Atkinson Funds (the Registrant), Post-Effective Amendment No. 56 (File Nos. 033-75240, 811-08360) On behalf of the Registrant, we hereby provide you with our responses to the staff’s oral comme |
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| February 29, 2012 |
TAIT, WELLER & BAKER LLP Certified Public Accountants REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Trustees Guinness Atkinson Funds Woodland Hills, California In planning and performing our audits of the financial statements of Guinness Atkinson Asia Focus Fund, Guinness Atkinson China & Hong Kong Fund, Guinness Atkinson Global Innovators Fund, Guinness Atkinso |
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| January 11, 2012 |
Guinness Atkinson Funds 21550 Oxnard Street, Suite 850 Woodland Hills, CA 91367 January 10, 2012 Securities and Exchange Commission 100 F Street N. |
|
| November 29, 2011 |
As filed with the Securities and Exchange Commission on November 29, 2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| November 29, 2011 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
|
| June 30, 2011 |
KRAMER LEVIN NAFTALIS & FRANKEL LLP Alexandra K. Alberstadt Phone 212-715-9151 Fax 212-715-8151 [email protected] June 29, 2011 Via EDGAR Attention: Michael Shaffer, Branch Chief. Securities and Exchange Commission Division of Investment Management 100 F. Street N.E. Washington, DC 25049 Re: Guinness Atkinson Funds (the Registrant), Post-Effective Amendment No. 52 (File Nos. 033-75240, 8 |
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| May 27, 2011 |
As filed with the Securities and Exchange Commission on May 27, 2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 27, 2011 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
|
| March 18, 2011 |
KRAMER LEVIN NAFTALIS & FRANKEL LLP Alexandra K. Alberstadt Phone 212-715-9151 Fax 212-715-8151 [email protected] March 18, 2011 Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 Re: Guinness Atkinson Funds File Nos. 33-75340, 811-8360 Dear Securities and Exchange Commission: We are filing via EDGAR, on behalf of Guinness Atkinson Funds (“Registrant”), and pursu |
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| February 9, 2011 |
Guinness Atkinson Funds 21550 Oxnard Street, Suite 850 Woodland Hills, CA 91367 Guinness Atkinson Funds 21550 Oxnard Street, Suite 850 Woodland Hills, CA 91367 February 9, 2011 VIA EDGAR Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 Attn: Division of Investment Management Re: Guinness Atkinson Funds File Nos. |
|
| November 29, 2010 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
|
| November 29, 2010 |
As filed with the Securities and Exchange Commission on November 29, 2010 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| May 28, 2010 |
As filed with the Securities and Exchange Commission on May 28, 2010 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| May 28, 2010 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
|
| November 27, 2009 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
|
| November 27, 2009 |
As filed with the Securities and Exchange Commission on November 27, 2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| May 28, 2009 |
CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
|
| May 28, 2009 |
As filed with the Securities and Exchange Commission on May 28, 2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| April 23, 2009 |
Please note that this letter is in draft form, and in no way reflects the Registrant?s or Fund management?s final intent with respect to the letter discussed herein. |
|
| March 2, 2009 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Trustees Guinness Atkinson Funds Glendora, California In planning and performing our audits of the financial statements of Guinness Atkinson Asia Focus Fund, Guinness Atkinson China & Hong Kong Fund, Guinness Atkinson Global Innovators Fund, Guinness Atkinson Global Energy Fund, Guinness Atkinson Alternative Energy F |
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| November 26, 2008 |
As filed with the Securities and Exchange Commission on November 26, 2008 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| November 26, 2008 |
CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
|
| May 29, 2008 |
CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
|
| May 29, 2008 |
As filed with the Securities and Exchange Commission on May 29, 2008 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| February 29, 2008 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Trustees Guinness Atkinson Funds Glendora, California In planning and performing our audits of the financial statements of Guinness Atkinson Asia Focus Fund, Guinness Atkinson China & Hong Kong Fund, Guinness Atkinson Global Innovators Fund, Guinness Atkinson Global Energy Fund, Guinness Atkinson Alternative Energy F |
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| November 29, 2007 |
As filed with the Securities and Exchange Commission on November 29, 2007 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| November 29, 2007 |
I, James J. Atkinson, Jr., certify that: CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
|
| May 29, 2007 |
As filed with the Securities and Exchange Commission on May 29, 2007 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| May 29, 2007 |
CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
|
| November 29, 2006 |
As filed with the Securities and Exchange Commission on November 28, 2006 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| November 29, 2006 |
CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
|
| May 30, 2006 |
As filed with the Securities and Exchange Commission on May 30, 2006 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| May 30, 2006 |
CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
|
| March 14, 2006 |
KRAMER LEVIN NAFTALIS & FRANKEL LLP George P. Attisano Special Counsel Phone 212-715-9555 Fax 212-715-8144 [email protected] March 14, 2006 VIA EDGAR Securities and Exchange Commission 100 F Street N.E. Washington, DC 20549 Attention: Christian T. Sandoe Re: Guinness Atkinson Funds Post-Effective Amendment No. 40 (File Nos. 33-75340; 811-8360) Dear Mr. Sandoe: On behalf of our client, the |
|
| November 28, 2005 |
CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the per |
|
| November 28, 2005 |
As filed with the Securities and Exchange Commission on November 28, 2005 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| August 10, 2005 |
Certifications CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with res |
|
| August 10, 2005 |
Amended Quarterly Noitce of Portfolio Holdings As filed with the Securities and Exchange Commission on May 31, 2005 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| May 31, 2005 |
Quraterly Notice of Portfolio Holdings As filed with the Securities and Exchange Commission on May 31, 2005 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| May 31, 2005 |
certification CERTIFICATION I, James J. Atkinson, Jr., certify that: 1. I have reviewed this report on Form N-Q of Guinness Atkinson Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with resp |
|
| April 20, 2005 |
STATEMENT OF ADDITIONAL INFORMATION Please note that this letter is in draft form, and in no way reflects the Registrant?s or Fund management?s final intent with respect to the filing discussed herein. |
