Basisstatistiken
| 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 Advertising & Marketing Technology ETF
SEC Filings (Chronological Order)
Auf dieser Seite finden Sie eine vollständige, chronologische Liste der SEC-Einreichungen, mit Ausnahme der Eigentumseinreichungen, die wir an anderer Stelle bereitstellen.
| March 27, 2026 |
UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release No. |
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| March 27, 2026 |
SECURITIES AND EXCHANGE COMMISSION Investment Company Act Release No. 35834 Multi-Class ETF Fund Exemptive Relief under the Investment Company Act of 1940 December 17, 2025 AGENCY: Securities and Exchange Commission (“Commission” or “SEC”). ACTION: Notice. Notice of applications under section 6(c) of the Investment Company Act of 1940 (“Act”), each for an exemption from sections 2(a)(32), 5(a)(1), |
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| December 18, 2025 |
New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com December 18, 2025 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the Shares of beneficial interest, $0.01 par value of Guinne |
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| December 18, 2025 |
New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com December 18, 2025 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the Shares of beneficial interest, $0.01 par value of Guinne |
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| December 18, 2025 |
New York Stock Exchange 11 Wall Street New York, NY 10005 Tel: +1 212.656.3000 nyse.com December 18, 2025 Chief, Information Technology Securities and Exchange Commission Division of Corporate Finance 100 F Street, NE MS 3040 Washington, DC 20549 To whom it may concern: The NYSE Arca certifies its approval for listing and registration of the Shares of beneficial interest, $0.01 par value of Guinne |
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| December 10, 2025 |
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 See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) |
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| December 10, 2025 |
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 See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) |
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| December 10, 2025 |
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 See below (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) |
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| 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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| September 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 RECORD OF AUTOMATIC WITHDRAWAL FORM APP WDG Pursuant to Investment Company Act Rule 0-5(g) Applicant Name: Guinness Atkinson Funds, et al. File Number: 812-15552 The applicants did not respond within 120 days, in writing, to the comments the Commission staff provided on the above-referenced application on May 7, 2024. Pursuant |
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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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| 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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| 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 29, 2021 | ||
| 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 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 |
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 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 |
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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| 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 |
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 |
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 Dividend Builder ETF SmartETFs Dividend Builder ETF Schedule of Investments at September 30, 2021 (Unaudited) Shares Common Stocks: 97. |
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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 |
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 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 |
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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| 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 |
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 |
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 |
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 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 |
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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| 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 26, 2021 |
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| March 26, 2021 |
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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 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 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 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 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 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 24, 2021 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON FEBRUARY 24, 2021 1933 Act File No. |
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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 |
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 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON February 23, 2021 1933 Act File No. |
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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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| 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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| 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 29, 2020 |
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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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| December 21, 2020 |
AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON December 18 2020 1933 Act File No. |
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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 |
GUINNESS ATKINSON DIVIDEND BUILDER FUND Schedule of Investments at September 30, 2020 (Unaudited) Shares Common Stocks: 98. |
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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 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 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 |
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 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 |
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 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 |
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 12, 2020 |
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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 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 |
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 |
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 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 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 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 CHINA & HONG KONG FUND GUINNESS ATKINSON CHINA & HONG KONG FUND Schedule of Investments at March 31, 2020 (Unaudited) Shares Common Stocks: 96. |
|
| 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 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 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 14, 2019 |
Guinness Atkinson Funds CERT - - NYSE ARCA CERTIFICATION begin 644 MOTO111419.pdf M)5!$1BTQ+C4-"B6UM;6U#0HQ(# @;V)J#0H\/"]4>7!E+T-A=&%L;V7!E+U!A9V5S+T-O=6YT(#$O2VED'0O26UA9V5"+TEM86=E0R]);6%G94E=(#X^+TUE9&EA0F]X6R P(# @ M-C$R(#2]#4R]$979I8V521T(^/B]486)S+U,O4W1R=6-T4&%R M96YT)R]66UOVS80_F[ _X&?!FFH M:;Z)$H>B0)HX73;$:^H411'T@ZNHCK#$SF2E;7[2_N7N2,F6XE"1L;0M(DC4 M\?C<^YU%QF_)RY?CT\.3(\)>O2*OCP[)^,U,D\5Z./AG.-!<$ ;_.>,T(HQR MQEA"M%94122]&0[&)S?S11:1HQ4Y&P[( |
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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 |
|
| 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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| 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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| 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 |
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 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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| 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 |
|
| 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 |
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 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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| 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 |
|
| 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 |
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 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 |
|
| 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 |
As filed with the Securities and Exchange Commission on May 29, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| 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 |
|
| 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 |
|
| 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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| 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. |
|
| 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 |
|
| 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 |
|
| 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 |
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 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. |
|
| 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 |
|
| 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 |
|
| 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 |
|
| 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 |
|
| May 27, 2011 |
As filed with the Securities and Exchange Commission on May 27, 2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| 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 |
|
| 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 |
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 28, 2010 |
As filed with the Securities and Exchange Commission on May 28, 2010 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| 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 |
As filed with the Securities and Exchange Commission on May 28, 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 |
|
| 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 |
|
| 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 |
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| May 29, 2008 |
As filed with the Securities and Exchange Commission on May 29, 2008 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| 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. |
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| 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 |
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| May 29, 2007 |
As filed with the Securities and Exchange Commission on May 29, 2007 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| 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 |
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| 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 |
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| November 29, 2006 |
As filed with the Securities and Exchange Commission on November 28, 2006 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| 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 |
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| May 30, 2006 |
As filed with the Securities and Exchange Commission on May 30, 2006 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| 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 |
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| November 28, 2005 |
As filed with the Securities and Exchange Commission on November 28, 2005 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| 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 |
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| 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 |
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| 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. |
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| 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. |
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| 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 |
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| 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. |
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| April 15, 2005 |
KRAMER LEVIN NAFTALIS & FRANKEL LLP 919 THIRD AVENUE NEW YORK, N.Y. 10022 - 3852 GEORGE P. ATTISANO PARIS ASSOCIATE 47, AVENUE HOCHE 75008 TEL 212-715-9555 TEL (33-1) 44 09 46 00 FAX 212-688-7288 FAX (33-1) 44 09 46 01 [email protected] April 15, 2005 VIA EDGAR - - Securities and Exchange Commission 450 Fifth Street, N.W. , Room 5422 Washington, D.C. 20549 Attention: Christian T. Sandoe Re |
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| November 26, 2004 |
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 26, 2004 |
As filed with the Securities and Exchange Commission on 11/26/04 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 8, 2004 |
EXTENSION FORM N-CSR FOR PERIOD 6-30-04 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 811-08360 (check one): [ ] Form 10-K and Form 10-KSB [ ] Form 10-Q and Form 10-QSB [ ] Form 20-F [ ] Form 11-K [ ] Form N-SAR [x ] Form N-CSR For Period Ended: June 30, 2004 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Repor |
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| March 16, 2004 |
A special meeting of shareholders of the Investec Funds was held at the office of Investec Asset Management U. |
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| August 29, 2003 |
A special meeting of shareholders of the Investec Funds was held at the office of Investec Asset Management U. |
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| March 24, 2003 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant /X/ Filed by a Party other than the Registrant / / Check the appropriate box: / / Preliminary Proxy Statement / / Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) /X/ Defi |
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| March 18, 2003 |
KRAMER LEVIN NAFTALIS & FRANKEL LLP 919 THIRD AVENUE NEW YORK, NY 10022 - 3852 PARIS TEL 212-715-9100 47, AVENUE HOCHE 75008 FAX 212-715-8000 TEL (33-1) 44 09 4600 FAX (33-1) 44 09 4601 FORM OF OPINION [ 2003] Investec Funds on behalf of Investec Mainland China Fund 1055 Washington Blvd, 3rd Floor Stamford, CT 06901 and Investec Funds on behalf of Investec China & Hong Kong Fund 1055 Washington Bl |
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| March 18, 2003 |
EX-99.14 5 kl03009ex9914.txt CONSENT OF AUDITORS. CONSENT OF ERNST & YOUNG LLP, INDEPENDENT AUDITORS We consent to the reference of our firm under the caption "Financial Statements" in the combined Proxy Statement and Prospectus (Form N-14, No. 333-103047) submitted pursuant to the Securities Act of 1933 of Investec Funds. /s/ Ernst & Young LLP Los Angeles, California March 14, 2003 |
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| March 18, 2003 |
INVESTEC FUNDS MAINLAND CHINA FUND SPECIAL MEETING OF SHAREHOLDERS SCHEDULED TO BE HELD ON April 22, 2003 THIS PROXY IS SOLICITED BY THE BOARD OF TRUSTEES of the Investec Funds, on behalf of the Investec Mainland China Fund (the "Fund"), for use at the special meeting of shareholders ("Special Meeting") to be held at the offices of the Fund 1055 Washington Blvd. |
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| March 18, 2003 |
N-14/A 1 kl03009n14a.txt AMENDMENT NO. 2 As filed with the Securities and Exchange Commission on March 18, 2003. File No. 333-103047 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. 2 [X] Post-Effective Amendment No. [ ] INVESTEC FUNDS (Formerly Guinness Flight Investment Funds) (Exact n |
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| February 26, 2003 |
As filed with the Securities and Exchange Commission on February 26, 2003. File No. 333-103047 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. 1 [X] Post-Effective Amendment No. [ ] INVESTEC FUNDS (Formerly Guinness Flight Investment Funds) (Exact name of Registrant as Specified in Trus |
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| February 7, 2003 |
EX-99.4 3 kl02001ex994.txt FORM OF AGT. & PLAN OF REORG. & LIQUIDATION FORM OF AGREEMENT AND PLAN OF REORGANIZATION AND LIQUIDATION This AGREEMENT AND PLAN OF REORGANIZATION AND LIQUIDATION ("Agreement") is made as of , 2003, between Investec Funds, a Delaware statutory trust (the "Trust"), on behalf of Investec China & Hong Kong Fund, a series of the Trust ("Acquiring Fund"), and the Trust, on be |
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| February 7, 2003 |
As filed with the Securities and Exchange Commission on February 7, 2003. File No. U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. [ ] Post-Effective Amendment No. [ ] INVESTEC FUNDS (Formerly Guinness Flight Investment Funds) (Exact name of Registrant as Specified in Trust Instrument) |
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| February 7, 2003 |
PRE 14A PRELIMINARY PROXY STATEMENT SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant /X/ Filed by a Party other than the Registrant / / Check the appropriate box: /X/ Preliminary Proxy Statement / / Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) / / Definitive Proxy Statement / / Definitive Additional Materials / / Soliciting Material under Rule 14a-12 INVESTEC FUNDS - (Name of Registrant as Specified In Its Charter) - (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): /X/ No fee required. |
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| February 7, 2003 |
KRAMER LEVIN NAFTALIS & FRANKEL LLP 919 THIRD AVENUE NEW YORK, NY 10022 - 3852 PARIS TEL (212) 715-7515 47, AVENUE HOCHE 75008 FAX (212) 715-7516 TEL (33-1) 44 09 46 00 FAX (33-1) 44 09 46 01 February 7, 2003 Investec Funds 1055 Washington Blvd. |
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| February 7, 2003 |
KL2:2197509.1 KL2:2197509.1 INVESTEC FUNDS MAINLAND CHINA FUND SPECIAL MEETING OF SHAREHOLDERS SCHEDULED TO BE HELD ON [ , 2003] THIS PROXY IS SOLICITED BY THE BOARD OF TRUSTEES of the Investec Funds, on behalf of the Investec Mainland China Fund (the "Fund"), for use at the special meeting of shareholders ("Special Meeting") to be held at the offices of the Fund [1055 Washington Blvd., 3rd Floor, |
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| November 16, 2001 |
CONSENT OF ERNST & YOUNG LLP, INDEPENDENT AUDITORS We consent to the references to our firm under the caption "Financial Statements" in Pre-Effective Amendment No. |
|
| November 16, 2001 |
KRAMER LEVIN NAFTALIS & FRANKEL LLP 919 THIRD AVENUE NEW YORK, N.Y. 10022 - 3852 TEL (212) 715-9100 47, Avenue Hoche FAX (212) 715-8000 75008 Paris France November 15, 2001 Investec Funds 1055 Washington Boulevard, 3rd Floor Stamford, Connecticut 06901 Re: Investec Funds - Ladies and Gentlemen: We have acted as counsel to Investec Funds (formerly known as Guinness Flight Investment Funds), a Delaw |
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| November 16, 2001 |
EX-99.17 9 kl11035ex9917.txt FORM OF PROXY CARDS. Instructions for Voting Your Proxy THE INVESTEC WIRELESS WORLD FUND(TM) is offering shareholders of record three alternative ways of voting your proxies: o Through the Internet (using a browser) o By Telephone o By Mail (traditional method) Your Internet or telephone vote authorizes the named proxies to vote your shares in the same manner as if you |
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| November 16, 2001 |
This AGREEMENT AND PLAN OF REORGANIZATION AND LIQUIDATION ("Agreement") is made as of , 2001, between Investec Funds, a Delaware business trust (the "Trust"), on behalf of Investec Asia Small Cap Fund, a series of the Trust ("Acquiring Fund"), and the Trust, on behalf of, Investec Asia New Economy Fund a series of the Trust ("Target"). |
|
| November 16, 2001 |
EX-99.11(A) 5 kl11035ex9911a.txt CONSENT OF COUNSEL. KRAMER LEVIN NAFTALIS & FRANKEL LLP 919 THIRD AVENUE NEW YORK, N.Y. 10022 - 3852 47, Avenue Hoche TEL (212) 715-9100 75008 Paris FAX (212) 715-8000 France November 16, 2001 Investec Funds 1055 Washington Blvd. 3rd Floor Stamford, CT 06901 Re: Investec Funds Registration Statement on Form N-14 File No. 333-71996 Relating to Investec Wired(R) Inde |
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| November 16, 2001 |
KRAMER LEVIN NAFTALIS & FRANKEL LLP 919 THIRD AVENUE NEW YORK, N.Y. 10022 - 3852 TEL (212) 715-9100 47, Avenue Hoche FAX (212) 715-8000 75008 Paris France November 16, 2001 Investec Funds 1055 Washington Blvd. Stamford, CT 06901 Re: Investec Funds Registration Statement on Form N-14 File No. 333-7199 Relating to Investec Asia Small Cap Fund - Gentlemen: We hereby consent to the reference of our fi |
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| November 16, 2001 |
CONSENT OF ERNST & YOUNG LLP, INDEPENDENT AUDITORS We consent to the references to our firm under the caption "Financial Statements" in Pre-Effective Amendment No. |
|
| November 16, 2001 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant /X/ Filed by a Party other than the Registrant / / Check the appropriate box: / / Preliminary Proxy Statement / / Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) /X/ Definitive Proxy Statement / / Definitive Additional Materials / / Soliciting Material under Rule 14a-12 INVESTEC FUNDS (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): /X/ No fee required. |
|
| November 16, 2001 |
KRAMER LEVIN NAFTALIS & FRANKEL LLP 919 THIRD AVENUE NEW YORK, N.Y. 10022 - 3852 47, Avenue Hoche 75008 Paris France [ ], 2001 Investec Funds on behalf of Investec Asia New Economy Fund 1055 Washington Blvd, 3rd Floor Stamford, CT 06901 and Investec Funds on behalf of Investec Asia Small Cap Fund 1055 Washington Blvd, 3rd Floor Stamford, CT 06901 Ladies and Gentlemen: This opinion is being furnish |
|
| November 16, 2001 |
This AGREEMENT AND PLAN OF REORGANIZATION AND LIQUIDATION ("Agreement") is made as of , 2001, between Investec Funds, a Delaware business trust (the "Trust"), on behalf of Investec Wired(R) Index Fund, a series of the Trust ("Acquiring Fund"), and the Trust, on behalf of [Investec Wireless World FundTM][Investec internet. |
|
| November 16, 2001 |
Instructions for Voting Your Proxy THE INVESTEC ASIA NEW ECONOMY FUND is offering shareholders of record three alternative ways of voting your proxies: o Through the Internet (using a browser) o By Telephone o By Mail (traditional method) Your Internet or telephone vote authorizes the named proxies to vote your shares in the same manner as if you had returned your proxy card. |
|
| November 16, 2001 |
EX-99.11(B) 6 kl11034ex9911b.txt OPINION OF COUNSEL KRAMER LEVIN NAFTALIS & FRANKEL LLP 919 THIRD AVENUE NEW YORK, N.Y. 10022 - 3852 TEL (212) 715-9100 47, Avenue Hoche FAX (212) 715-8000 75008 Paris France November 15, 2001 Investec Funds 1055 Washington Blvd., 3rd Floor Stamford, Connecticut 06901 Re: Investec Funds - Ladies and Gentlemen: We have acted as counsel to Investec Funds (formerly kno |
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| November 16, 2001 |
EX-99.12 7 kl11035ex9912.txt FORM OF TAX OPINIONS. KRAMER LEVIN NAFTALIS & FRANKEL LLP 919 THIRD AVENUE NEW YORK, N.Y. 10022 - 3852 47, Avenue Hoche 75008 Paris France [ ], 2001 Investec Funds on behalf of Investec internet.com Fund 1055 Washington Blvd, 3rd Floor Stamford, CT 06901 and Investec Funds on behalf of Investec Wired Index Fund 1055 Washington Blvd, 3rd Floor Stamford, CT 06901 Ladies |
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| November 16, 2001 |
As filed with the Securities and Exchange Commission on November 16, 2001. File No. 333-71994 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [ ] Pre-Effective Amendment No. 1 [X] Post-Effective Amendment No. [ ] INVESTEC FUNDS (Formerly Guinness Flight Investment Funds) (Exact name of Registrant as Specified in Trust |
|
| November 16, 2001 |
As filed with the Securities and Exchange Commission on November 16, 2001. File No. 333-71996 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [ ] Pre-Effective Amendment No. 1 [X] Post-Effective Amendment No. [ ] INVESTEC FUNDS (Formerly Guinness Flight Investment Funds) (Exact name of Registrant as Specified in Trust |
|
| November 14, 2001 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant /X/ Filed by a Party other than the Registrant / / Check the appropriate box: / / Preliminary Proxy Statement / / Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) /X/ Definitive Proxy Statement / / Definitive Additional Materials / / Soliciting Material under Rule 14a-12 INVESTEC FUNDS (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): /X/ No fee required. |
|
| October 22, 2001 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant /X/ Filed by a Party other than the Registrant / / Check the appropriate box: /X/ Preliminary Proxy Statement / / Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) / / Definitive Proxy Statement / / Definitive Additional Materials / / Soliciting Material under Rule 14a-12 INVESTEC FUNDS (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): /X/ No fee required. |
|
| October 22, 2001 |
LOGO INVESTEC FUNDS ASIA NEW ECONOMY FUND SPECIAL MEETING OF SHAREHOLDERS SCHEDULED TO BE HELD ON December 17, 2001 PROXY CARD THIS PROXY IS SOLICITED BY THE BOARD OF TRUSTEES of the Investec Funds, on behalf of the Investec Asia New Economy After reviewing the Combined Fund (the "Fund"), for use at the Proxy Statement and Prospectus, special meeting of shareholders please vote by utilizing one of ("Special Meeting") to be held at the the following convenient offices of the Fund 1055 Washington options: Blvd. |
|
| October 22, 2001 |
EX-99.16 7 kl10029ex16.txt POWERS OF ATTORNEY. POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned Trustee of INVESTEC FUNDS, a Delaware business trust, (the "Trust") constitutes and appoints Susan J. Penry-Williams and Jules Buchwald as my true and lawful attorneys-in-fact, with full power of substitution and resubstitution, for me and in my name, place and stead, in any and al |
|
| October 22, 2001 |
EX-99.11 5 kl10030ex11.txt CONSENT OF COUNSEL. KRAMER LEVIN NAFTALIS & FRANKEL LLP 919 THIRD AVENUE NEW YORK, N.Y. 10022 - 3852 47, Avenue Hoche TEL (212) 715-9100 75008 Paris FAX (212) 715-8000 France October 22, 2001 Investec Funds 1055 Washington Blvd. 3rd Floor Stamford, CT 06901 Re: Investec Funds Registration Statement on Form N-14 Relating to Investec Wired(R) Index Fund - Gentlemen: We her |
|
| October 22, 2001 |
This AGREEMENT AND PLAN OF REORGANIZATION AND LIQUIDATION ("Agreement") is made as of , 2001, between Investec Funds, a Delaware business trust (the "Trust"), on behalf of Investec Wired(R) Index Fund, a series of the Trust ("Acquiring Fund"), and the Trust, on behalf of [Investec Wireless World FundTM][Investec internet. |
|
| October 22, 2001 |
CONSENT OF ERNST & YOUNG LLP, INDEPENDENT AUDITORS We consent to the references to our firm under the caption "Financial Statements" in the Combined Proxy Statement and Prospectus in the Registration Statement (Form N-14 No. |
|
| October 22, 2001 |
As filed with the Securities and Exchange Commission on October 22, 2001. File No. U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. [ ] Post-Effective Amendment No. [ ] INVESTEC FUNDS (Formerly Guinness Flight Investment Funds) (Exact name of Registrant as Specified in Trust Instrument) |
|
| October 22, 2001 |
EX-99.16 7 kl10030ex16.txt POWERS OF ATTORNEY. POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned Trustee of INVESTEC FUNDS, a Delaware business trust, (the "Trust") constitutes and appoints Susan J. Penry-Williams and Jules Buchwald as my true and lawful attorneys-in-fact, with full power of substitution and resubstitution, for me and in my name, place and stead, in any and al |
|
| October 22, 2001 |
LOGO INVESTEC FUNDS WIRELESS WORLD FUND(TM) SPECIAL JOINT MEETING OF SHAREHOLDERS SCHEDULED TO BE HELD ON December 17, 2001 PROXY CARD THIS PROXY IS SOLICITED BY THE BOARD OF TRUSTEES of the Investec Funds, on behalf of the Investec Wireless World After reviewing the Combined FundTM (the "Fund"), for use at the Proxy Statement and Prospectus, special joint meeting of shareholders please vote by utilizing one of ("Special Meeting") to be held at the the following convenient offices of the Fund 1055 Washington options: Blvd. |
|
| October 22, 2001 |
This AGREEMENT AND PLAN OF REORGANIZATION AND LIQUIDATION ("Agreement") is made as of October , 2001, between Investec Funds, a Delaware business trust (the "Trust"), on behalf of Investec Asia Small Cap Fund, a series of the Trust ("Acquiring Fund"), and the Trust, on behalf of, Investec Asia New Economy Fund a series of the Trust ("Target"). |
|
| October 22, 2001 |
EX-99.14 6 kl10029ex14.txt CONSENT OF ERNST & YOUNG, AUDITORS. CONSENT OF ERNST & YOUNG LLP, INDEPENDENT AUDITORS We consent to the references to our firm under the caption "Financial Statements" in the Combined Proxy Statement and Prospectus in the Registration Statement (Form N-14 No. 33-75340) of Investec Funds dated October 19, 2001 (formerly Guinness Flight Investment Funds) and Statement of |
|
| October 22, 2001 |
KRAMER LEVIN NAFTALIS & FRANKEL LLP 919 THIRD AVENUE NEW YORK, N.Y. 10022 - 3852 TEL (212) 715-9100 47, Avenue Hoche FAX (212) 715-8000 75008 Paris France October 22, 2001 Investec Funds 1055 Washington Blvd. Stamford, CT 06901 Re: Investec Funds Registration Statement on Form N-14 Relating to Investec Asia Small Cap Fund (File No. 33-75340) - Gentlemen: We hereby consent to the reference of our f |
|
| October 22, 2001 |
As filed with the Securities and Exchange Commission on October 22, 2001. File No. U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. [ ] Post-Effective Amendment No. [ ] INVESTEC FUNDS (Formerly Guinness Flight Investment Funds) (Exact name of Registrant as Specified in Trust Instrument) |
|
| August 29, 2000 |
6 0000919160 GUINNESS FLIGHT INVESTMENT FUNDS 5 MAINLAND CHINA FUND 1 U.S. 6-MOS DEC-31-2000 JAN-01-2000 JUN-30-2000 1 10147540 11623948 15754 0 110038 11749740 0 0 22027 22027 0 14440263 1057480 1120056 (21891) 0 (4167061) 0 1476402 11727713 91012 4327 0 119470 (24131) (595387) 141785 (477733) 0 0 0 0 249667 312243 0 (1123938) 2240 (3571674) 0 0 60395 0 179894 12139864 11.47 (0.02) (0.36) 0 0 0 1 |
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| August 29, 2000 |
PAGE 1 000 A000000 06/30/2000 000 C000000 0000919160 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6. |
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| August 29, 2000 |
6 0000919160 GUINNESS FLIGHT INVESTMENT FUNDS 9 WIRELESS WORLD FUND 1 U.S. 4-MOS DEC-31-2000 FEB-28-2000 JUN-30-2000 1 40163424 37495384 696150 0 4101512 42293046 1502181 0 123277 1625458 0 43994795 3533439 0 (25008) 0 (633946) 0 (2668253) 40667588 38941 95966 0 159915 (25008) (633946) (2668253) (3327207) 0 0 0 0 4156805 623366 0 40667588 0 0 0 0 101185 0 164373 30193824 12.50 (0.01) (0.98) 0 0 0 |
|
| August 29, 2000 |
6 0000919160 GUINNESS FLIGHT INVESTMENT FUNDS 1 CHINA & HONG KONG FUND 1 U.S. 6-MOS DEC-31-2000 JAN-01-2000 JUN-30-2000 1 82643736 137272447 2502943 0 32699 139808089 0 0 2726055 2726055 0 156963598 7927314 9255713 199401 0 (74709248) 0 54628283 137082034 1450292 4706 0 1255597 199401 5568705 (8736049) (2967943) 0 0 0 0 1445194 2773593 0 (26289574) 0 (80277953) 0 0 717716 0 1255597 144198877 13.58 |
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| August 29, 2000 |
6 0000919160 GUINNESS FLIGHT INVESTMENT FUNDS 2 GLOBAL GOVERNMENT BOND FUND 1 U.S. 4-MOS DEC-31-2000 JAN-01-2000 APR-28-2000 1 0 0 0 0 0 0 0 0 0 0 0 0 0 751080 0 0 0 0 0 0 0 0 (3108) 15568 (18676) (471220) (186149) (676045) 0 97427 0 0 89702 8788997 50938 (9421829) 93794 (457758) 0 0 0 0 63307 0 0 0 0 0 0 0 0 0 |
|
| August 29, 2000 |
6 0000919160 GUINNESS FLIGHT INVESTMENT FUNDS 8 INTERNET.COM INDEX FUND 1 U.S. 6-MOS DEC-31-2000 JAN-01-2000 JUN-30-2000 1 36096927 41686448 172841 0 0 41859289 0 0 246374 246374 0 38719940 2120148 1885674 (315750) 0 (2380796) 0 5589521 41612915 0 6958 0 322708 (315750) (2757467) (5864276) (8937493) 0 0 0 0 1133441 898967 0 (1302831) 0 376671 0 0 214939 0 353894 48025244 22.76 (0.15) (2.98) 0 0 0 |
|
| August 29, 2000 |
6 0000919160 GUINNESS FLIGHT INVESTMENT FUNDS 6 NEW EUROPE FUND 1 U.S. 4-MOS DEC-31-2000 JAN-01-2000 APR-28-2000 1 0 0 0 0 0 0 0 0 0 0 0 0 0 61762 0 0 0 0 0 0 2401 347 0 5335 (2587) 393810 (165060) 226163 0 0 400281 0 275544 1091811 0 (189823) 0 8486 0 0 0 0 35176 0 0 0 0 0 0 0 0 0 |
|
| August 29, 2000 |
6 0000919160 GUINNESS FLIGHT INVESTMENT FUNDS 7 WIRED INDEX FUND 1 U.S. 6-MOS DEC-31-2000 JAN-01-2000 JUN-30-2000 1 154807416 205238220 372098 0 499439 206109757 0 0 11417605 11417605 0 144380945 8199526 6971926 (596913) 0 477316 0 50430804 194692152 478374 24147 0 1099434 (596913) 1000335 11207928 11611350 0 0 11254847 0 2537434 1309834 0 30678015 0 10731828 0 0 785314 0 1070444 190527622 23.52 ( |
|
| August 29, 2000 |
6 0000919160 GUINNESS FLIGHT INVESTMENT FUNDS 3 ASIA BLUE CHIP FUND 1 U.S. 6-MOS DEC-31-2000 JAN-01-2000 JUN-30-2000 1 7353330 9218800 119145 0 26893 9364838 0 0 15127 15127 0 9596307 897019 944930 (7107) 0 (2107441) 0 1867952 9349711 51517 1554 0 97383 (44312) 1125396 (1939108) (858024) 0 0 0 0 334872 382783 0 (1436633) 37205 (3232837) 0 0 49184 0 141103 9882530 11.41 (0.05) (0.94) 0 0 0 10.42 1. |
|
| August 29, 2000 |
6 0000919160 GUINNESS FLIGHT INVESTMENT FUNDS 4 ASIA SMALL CAP FUND 1 U.S. 6-MOS DEC-31-2000 JAN-01-2000 JUN-30-2000 1 25111459 26595503 374746 0 60758 27031007 0 0 430843 430843 0 113646536 3391038 3959833 (48862) 0 (88479107) 0 1481597 26600164 276186 2610 0 327658 (48862) 844420 (6407851) (5612293) 0 0 0 0 598329 1167124 0 (11073757) 0 (89323527) 0 0 165483 0 387024 33220239 9.51 (0.01) (1.66) |
|
| July 20, 2000 |
As filed, via EDGAR, with the Securities and Exchange Commission on July 20, 2000. |
|
| June 30, 2000 |
As filed, via EDGAR, with the Securities and Exchange Commission on June 30, 2000. |
