DWS INTERNATIONAL GMBH of FRANKFURT AM MAIN is an SEC-registered investment adviser (CRD 105075). Regulatory assets under management: $228.9B.
Compensation: % of AUM, Fixed, Performance.
Clients served: Pooled vehicles, Charities, Investment cos.
Showing 25 of 40 people.
| Name | Role | Location |
|---|---|---|
| Peter E Martin | DIRECTOR AND CHIEF COMPLIANCE OFFICER; DIRECTOR AND COMPLIANCE OFFICER | Bedford, MA |
| Peter G Martin | DIRECTOR AND CHIEF COMPLIANCE OFFICER; DIRECTOR AND COMPLIANCE OFFICER | Cleveland, OH |
| Georg Johann Schuh | BOARD MEMBER | — |
| Matthias Liermann | BOARD MEMBER | — |
| Joerg Gerhard Hupertz | CFO, BOARD MEMBER | — |
| Daniel Gregor Meister | HEAD OF AFC & COMPLIANCE EMEA; REGIONAL HEAD OF AFC & COMPLIANCE EMEA | — |
| Daniel Kieper | REGIONAL HEAD OF LEGAL GERMANY | — |
| Christian Tschall | CHIEF LEGAL OFFICER | — |
| Gero Alexander Donatus Schomann | BOARD MEMBER | — |
| RING RALF | CHIEF COMPLIANCE OFFICER; DIRECTOR & CHIEF COMPLIANCE OFFICER; HEAD OF COMPLIANCE | — |
| GOERING MARCUS | MANAGING DIRECTOR, CHIEF OPERATING OFFICER, HEAD OF LEGAL | — |
| KERGER PETER | MANAGING DIRECTOR | — |
| SCHUH GEORG | MANAGING DIRECTOR; MANAGING DIRECTOR AND BOARD MEMBER | — |
| KALDEMORGEN KLAUS | MANAGING DIRECTOR | — |
| ROEMER HANS-PETER | MANAGING DIRECTOR | — |
| BAUMANN HANS-JOERG | MANAGING DIRECTOR | — |
| MICHEL HERBERT | MANAGING DIRECTOR | — |
| MOESSLE KLAUS | MANAGING DIRECTOR | — |
| BERNARD CHRISTOPHE | MANAGING DIRECTOR, CHIEF INVESTMENT OFFICER | — |
| SCHMIDT-NARISCHKIN NIKOLAUS | MANAGING DIRECTOR | — |
| FUSS MICHAEL | MANAGING DIRECTOR; MANAGING DIRECTOR AND BOARD MEMBER | — |
| SCHOLL STEPHAN | MANAGING DIRECTOR AND BOARD MEMBER | — |
| SCHEIDIG FRANK | MANAGING DIRECTOR | — |
| BEHRENS OLIVER MARKUS | MANAGING DIRECTOR | — |
| VARNAVIDES ANDREAS | MANAGING DIRECTOR, CHIEF BUSINESS OFFICER | — |
Showing 10 of 91 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-04-30 | regulatory | ON APRIL 30, 2026, DEUTSCHE BANK AG, LONDON BRANCH ("DBAG") ENTERED INTO A SETTLEMENT WITH THE UNITED KINGDOM'S OFFICE OF FINANCIAL SANCTIONS IMPLEMENTATION ("OFSI") IN WHICH OFSI FOUND THAT DBAG VIOLATED REGULATION 12 OF THE RUSSIA (SANCTIONS) (EU EXIT) REGULATIONS 2019 FOR PROCESSING TWO PAYMENT T… | Final | $224K |
| 2026-03-12 | regulatory | ON MARCH 12, 2026, THE SAUDI CENTRAL BANK ("SAMA") FOUND THAT DEUTSCHE BANK AG, RIYADH BRANCH ("DBAG") VIOLATED ARTICLE 17 OF THE SAUDI BANKING CONTROL LAW FOR DEPOSIT REPORTING DISCREPANCIES IN DBAG'S SEPTEMBER 2025 AND OCTOBER 2025 REPORTS TO SAMA. | Final | $1K |
| 2025-06-09 | regulatory | THE SECURITIES AND FUTURES COMMISSION OF HONG KONG (THE "SFC") COMMENCED INVESTIGATIONS INTO DEUTSCHE BANK AG, HONG KONG BRANCH ("DBHK") FOLLOWING SELF-REPORTS MADE BY DBHK REGARDING SELF-IDENTIFIED INCIDENTS, WHICH THE SFC FOUND VIOLATED GENERAL PRINCIPLES 2 (DILIGENCE), 7 (COMPLIANCE), AND PARAGRA… | Final | $3.0M |
| 2025-06-02 | regulatory | ICE CLEAR CREDIT LLC ("ICE CLEAR CREDIT") FOUND THAT DEUTSCHE BANK AG ("DBAG") FAILED TO COMPLY WITH ICE CLEAR CREDIT RULE 404(B) RELATING TO THE TIMELY SUBMISSION OF TWO END-OF-DAY PRICES. | Final | $4K |
| 2025-04-11 | regulatory | BLOOMBERG SEF LLC ("BSEF") FOUND THAT DEUTSCHE BANK AG ("DBAG") FAILED TO REPORT ERROR TRADES IN A TIMELY MANNER IN ACCORDANCE WITH BSEF RULES, AND THAT DBAG FAILED TO ADMINISTER SUPERVISORY PROCEDURES TO ENSURE THAT ERROR TRADES WERE PROPERLY REPORTED AND CORRECTED ON BSEF. | Final | $135K |
| 2025-03-24 | regulatory | ON MAY 13, 2025, THE RESERVE BANK OF INDIA ("RBI") FOUND THAT DEUTSCHE BANK AG, INDIA ("DBAG") VIOLATED AN RBI DIRECTIVE BY FAILING TO REGISTER CERTAIN LARGE ACCOUNTS WITH THE CREDIT REPOSITORY OF INFORMATION ON LARGE CREDIT ("CRILC") PLATFORM. | Final | $58K |
| 2025-03-17 | regulatory | ON APRIL 1, 2025, DWS GROUP GMBH & CO. KGAA AND DWS INVESTMENT GMBH (TOGETHER, "DWS") RECEIVED AN ADMINISTRATIVE FINE NOTICE FROM THE FRANKFURT PUBLIC PROSECUTOR FINDING THAT DWS COMMITTED AN ADMINISTRATIVE OFFENSE BY NEGLIGENTLY BREACHING A REQUIREMENT REGARDING PROPER BUSINESS OPERATIONS IN THE GE… | Final | $27.5M |
| 2024-12-20 | regulatory | THE SEC FOUND THAT DEUTSCHE BANK SECURITIES, INC. ("DBSI") FAILED TO TIMELY FILE CERTAIN SUSPICIOUS ACTIVITY REPORTS, AND, ON CERTAIN OCCASIONS FAILED TO PROMPTLY INVESTIGATE OR COMPLETE INVESTIGATIONS OF POTENTIALLY SUSPICIOUS ACTIVITY WITHIN A REASONABLE PERIOD OF TIME. THE SEC FOUND THAT FROM APR… | Final | $4.0M |
| 2024-07-04 | regulatory | THE GERMAN FEDERAL FINANCIAL SUPERVISORY AUTHORITY ("BAFIN") DETERMINED THAT THE CONSOLIDATED FINANCIAL STATEMENTS OF DEUTSCHE BANK AG ("DBAG") FOR FY2019 MISAPPLIED THE INTERNATIONAL FINANCIAL REPORTING STANDARDS ("IFRS") - INTERNATIONAL ACCOUNTING STANDARDS ("IAS") RELATING TO SPECIFICS OF THE DIS… | Final | — |
| 2024-06-20 | regulatory | THE SECURITIES AND COMMODITIES AUTHORITY - UAE ("SCA") FOUND THAT DEUTSCHE BANK AG, DUBAI BRANCH (DEUTSCHE SECURITIES AND SERVICES) ("DSS") FAILED TO TIMELY SUBMIT A REQUIRED ANNUAL FINANCIAL REPORT FOR THE PERIOD ENDING DECEMBER 31, 2023. | On Appeal | $14K |