BNP PARIBAS ASSET MANAGEMENT USA, INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 105455). Regulatory assets under management: $48.4B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 71 people.
| Name | Role | Location |
|---|---|---|
| Russell L Martin | CO-CHIEF INVESTMENT OFFICER,MANAGING DIRECTOR/SHAREHOLDER OF CHARTER ATLANTIC CORPORTATION/APPLICANT; CO-CHIEF INVESTMENT OFFICER,/SHAREHOLDER & MEMBER OF BOARD OF DIRECTORS FOR CHARTER ATLANTIC CORP & APPLICANT; MANAGING DIRECTOR/SHAREHOLDER OF CHARTER ATLANTIC CORPORTATION/APPLICANT (+1 more) | Houston, TX |
| Carey F Patrick | MANAGING DIRECTOR OF APPLICANT; MANAGING DIRECTOR OF CAC/APPLICANT; MANAGING DIRECTOR/SHAREHOLDER OF CAC/APPLICANT (+1 more) | Fargo, ND |
| Timothy William Trotter | CHIEF COMPLIANCE OFFICER | — |
| Sandro Alfredo Pierri | CHAIRMAN / DIRECTOR | — |
| Robert William Hawley | DIRECTOR | — |
| Amanda Raynor | CHIEF OPERATING OFFICER / DEPUTY CHIEF EXECUTIVE OFFICER | — |
| Gary Charles Friedman | CHIEF FINANCIAL OFFICER / TREASURER | — |
| Johanna Alexandra Lasker | DIRECTOR / CHIEF EXECUTIVE OFFICER / PRESIDENT | — |
| Florence Daniele Pourchet | DIRECTOR | — |
| Suresh Subramanian | DIRECTOR | — |
| Ella Dlin Cohen | CHIEF LEGAL OFFICER | — |
| HOLLANDER RICHARD SCOTT | MEMBER OF BOARD OF DIRECTORS OF CAC/APPLICANT | — |
| LAPOMME PIERRE MARC | MEMBER OF BOARD OF DIRECTORS OF CAC/APPLICANT | — |
| GLICENSTEIN GILLES | MEMBER OF THE BOARD OF DIRECTORS OF CAC/APPLICANT; VICE CHAIRMAN OF BOARD OF DIRECTORS; VICE CHAIRMAN OF BOARD OF DIRECTORS, CAC/APPLICANT (+1 more) | — |
| MARCHESSAUX PHILIPPE | DIRECTOR | — |
| OLCAY ONDER JOHN | MANAGING DIRECTOR/SHAREHOLDER, VICE CHAIRMAN OF THE BOARD OF DIRECTORS OF CAC/APPLICANT; SHAREHOLDER&VICECHAIRMAN FOR THE BOARD OF DIRECTORS OF CAC/APPLICANT; SHAREHOLDER&VICECHAIRMAN FOR THE BOARDS OF DIRECTORS OF CAC/APPLICANT (+3 more) | — |
| CASPER STEPHEN PAUL | CHIEF EXECUTIVE OFFICER, APPLICANT, CHAIRMAN OF BOARD OF DIRECTORS, CAC/APPLICANT; CHIEF EXECUTIVE OFFICER, CHAIRMAN OF BOARD OF DIRECTORS; CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR/SHAREHOLDER, MEMBER OF BOARD OF DIRECTORS OF CAC/APPLICANT (+5 more) | — |
| MARMON DAVID JAY | MANAGING DIRECTOR OF APPLICANT; MANAGING DIRECTOR OF CAC/APPLICANT; MANAGING DIRECTOR/SHAREHOLDER OF CAC/APPLICANT (+1 more) | — |
| AKANT ADNAN | MANAGING DIRECTOR OF APPLICANT; MANAGING DIRECTOR OF CAC/APPLICANT; MANAGING DIRECTOR/SHAREHOLDER&MEMBER OF BOARD OF DIRECTORS OF CHARTER ATLANTIC CORPORATION/APPLICANT (+2 more) | — |
| MEISTER ROBIN SUE | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER; CHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER / SECRETARY (+10 more) | — |
| DIAO ROY WEICHIEN | MANAGING DIRECTOR OF APPLICANT; MANAGING DIRECTOR OF CAC/APPLICANT; MANAGING DIRECTOR/SHAREHOLDER OF CAC/APPLICANT (+2 more) | — |
| WYNE MICHAEL LOUIS | MANAGING DIRECTOR OF APPLICANT; MANAGING DIRECTOR OF CAC/APPLICANT; MANAGING DIRECTOR/SHAREHOLDER OF CAC/APPLICANT (+2 more) | — |
| HAZELL DEBORAH | CHIEF EXECUTIVE OFFICER AND MEMBER OF BOARD OF DIRECTORS; CHIEF EXECUTIVE OFFICER OF APPLICANT AND MEMBER OF BOARD OF DIRECTORS OF CAC/APPLICANT; MANAGING DIRECTOR OF APPLICANT (+3 more) | — |
| WILLIAMS RICHARD SAMUEL | CHIEF INVESTMENT OFFICER, APPLICANT, MANAGING DIRECTOR OF APPLICANT; CHIEF INVESTMENT OFFICER, MANAGING DIRECTOR OF CAC/APPLICANT; CHIEF INVESTMENT OFFICER, MANAGING DIRECTOR/SHAREHOLDER OF CAC/APPLICANT (+3 more) | — |
| VAUGRIGNEUSE GILLES MARIE | MEMBER OF BOARD OF DIRECTORS OF CAC/APPLICANT; MEMBER OF THE BOARD OF DIRECTORS OF CAC/APPLICANT; MEMBER OF THE BOARD OF DIRECTORS OF CHARTER ATLANTIC CORPORATION/APPLICANT (+1 more) | — |
Showing 10 of 16 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-09-13 | regulatory | THE AMF'S ALLEGATIONS AGAINST BNP PARIBAS RELATE TO: 1. INADEQUATE AND MISLEADING CLIENT DISCLOSURES ON FEES - FAILURE TO CLEARLY DISCLOSE COMMISSIONS DE MOUVEMENT. - ABSENCE OF MANDATORY PERFORMANCE-IMPACT ILLUSTRATIONS. - NON-AGGREGATED COST REPORTING, LEADING TO MISUNDERSTANDING OF ACTUAL TOTAL F… | Final | $600K |
| 2023-08-08 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ALLEGED THAT FROM AT LEAST 2014 TO THE PRESENT BNP PARIBAS S.A. AND BNP PARIBAS SECURITIES CORP. FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO THE BUSINESS OF THE FUTURE COMMISSION MERCHANT, IN WILLFUL VIOLATION OF SECTIONS 4S(F)(1… | Final | $75.0M |
| 2022-07-05 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ALLEGED THAT, FROM AT LEAST 2016 THROUGH 2021, BNP PARIBAS ("BNPP") FAILED TO CORRECTLY REPORT NUMEROUS SWAP TRANSACTIONS AS REQUIRED BY THE COMMODITY EXCHANGE ACT ("CEA") AND CEA REGULATIONS, AND THAT FROM 2016 THROUGH 2017, BNPP ADJUSTED DAILY MARK… | Final | $6.0M |
| 2020-04-07 | regulatory | FOLLOWING A REVIEW CARRIED OUT BY THE AMF THAT COMMENCED IN JUNE 2018 ON THE MARKETING OF CERTAIN REAL ESTATE AND COMPLEX DEBT FINANCIAL INSTRUMENTS BY BNP PARIBAS, ACTING AS AN INVESTMENT SERVICES PROVIDER, TO RETAIL BANKING CLIENTS IN 2017, THE AMF POINTED OUT CERTAIN DEFAULTS REGARDING (I) THE RE… | Final | $600K |
| 2018-12-11 | regulatory | THE AMF'S COMMISSION DES SANCTIONS IDENTIFIED FOUR MAIN CATEGORIES OF ALLEGED BREACHES BY BNP PARIBAS SECURITIES SERVICES (BP2S) IN CONNECTION WITH ITS ROLE AS TENEUR DE COMPTE-CONSERVATEUR (TCC) DURING THE 2018 PROXY VOTING SEASON. THESE ISSUES RELATE TO HOW BP2S PROCESSED VOTING INSTRUCTIONS FOR I… | Final | $1.2M |
| 2018-01-25 | criminal | AS CHARGED IN THE INFORMATION, BNPP USA, THROUGH ONE OF ITS TRADERS, AGREED WITH OTHER FOREIGN EXCHANGE DEALERS TO COORDINATE ITS TRADING IN CERTAIN EMERGING MARKETS CURRENCIES. BNPP USA WAIVED INDICTMENT AND AGREED TO BE CHARGED IN A ONE-COUNT CRIMINAL INFORMATION, FILED IN THE DISTRICT COURT, CHAR… | Final | — |
| 2015-12-09 | regulatory | PURSUANT TO A REVIEW THAT HAD COMMENCED IN DECEMBER 2015,THE AMF FOUND CERTAIN DEFAULTS IN THE COMPLIANCE CONTROL SYSTEMS OUT BY BNP PARIBAS' LONDON BRANCH. SPECIFICALLY, THE AMF FOUND THAT SUCH COMPLIANCE CONTROL SYSTEMS DID NOT ENSURE AN ADEQUATE MANAGEMENT OF INSIDE INFORMATION IN THE CONTEXT OF… | Final | $460K |
| 2015-07-27 | regulatory | THE AMF'S ALLEGATIONS AGAINST BNP PARIBAS ARBITRAGE RELATE TO: 1. FAILURE TO DECLARE SUSPICIOUS TRANSACTIONS 2. DEFICIENT COMPLIANCE ORGANISATION AND DELEGATION ISSUES 3. TECHNICAL FAILURE IN AUTOMATED DETECTION | Final | $60K |
| 2015-07-27 | regulatory | PURSUANT TO A REVIEW THAT HAD COMMENCED JULY 2015, THE AMF FOUND (I) THAT ON THE 31ST DECEMBER 2014, BNP PARIBAS, ACTING AS AN INVESTMENT SERVICES PROVIDER CARRYING ON RECEPTION AND TRANSMISSION OF ORDERS ON BEHALF OF THIRD PARTY, DID NOT REPORT TO THE AMF SOME ORDERS ON A LISTED SECURITY THAT COULD… | Final | $240K |
| 2014-07-09 | criminal | FROM AT LEAST 2004 THROUGH 2012, BNPP KNOWINGLY AND WILLFULLY MOVED OVER $8.8 BILLION THROUGH THE U.S. FINANCIAL SYSTEM ON BEHALF OF SUDANESE, IRANIAN AND CUBAN SANCTIONED ENTITIES, IN VIOLATION OF U.S. ECONOMIC SANCTIONS. BNPP WAIVED INDICTMENT AND AGREED TO BE CHARGED IN A ONE-COUNT CRIMINAL INFOR… | Final | — |