HSBC GLOBAL ASSET MANAGEMENT (USA) INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 105686). Regulatory assets under management: $156.6B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Charities, Investment cos.
Showing 25 of 92 people.
| Name | Role | Location |
|---|---|---|
| KELLY PATRICK | DIRECTOR | MONTREAL, A8 |
| James M Curtis | LEGAL COUNSEL | — |
| David Paul Dawe | CHIEF EXECUTIVE OFFICER AND CHIEF OPERATING OFFICER, DIRECTOR | — |
| Randeep S Brar | CHIEF RISK OFFICER, DIRECTOR | — |
| Jaron R Campbell | DIRECTOR | — |
| Erick Daniel Vega | CHIEF INVESTMENT OFFICER | — |
| Racquel N Oden | CHAIRPERSON, DIRECTOR | — |
| Ian G Shaw | CHIEF COMPLIANCE OFFICER | — |
| Dominic Adam Skevington | CHIEF EXECUTIVE OFFICER, DIRECTOR; DIRECTOR | — |
| BAINS LESLIE ELIZABETH | DIRECTOR, SENIOR EXECUTIVE VICE PRESIDENT, HSBC BANK USA; SENIOR EXECUTIVE VICE PRESIDENT, HSBC BANK USA | — |
| BURKE JOSEPH J | DIRECTOR AND CHAIRMAN | — |
| BROWN KEVIN THOMAS | CHIEF OPERATING OFFICER, TREASURER | — |
| RUGGIERO JOHN HENRY | CHIEF COMPLIANCE OFFICER; INTERIM CHIEF COMPLIANCE OFFICER | — |
| QUINN DANIEL PATRICK | COMPLIANCE MANAGER/CORPORATE SECRETARY | — |
| BEACH STEPHEN CHARLES | CHIEF COMPLIANCE OFFICER | — |
| LUTCHER FREDERICK PORTER | MANAGING DIRECTOR / CHIEF INVESTMENT OFFICER U.S. EQUITIES | — |
| IOCOLANO SALVATORE JOSEPH | CHIEF COMPLIANCE OFFICER/ASSISTANT CORPORATE SECRETARY; CHIEF COMPLIANCE OFFICER/CORPORATE SECRETARY; COMPLIANCE MANAGER/CORPORATE SECRETARY | — |
| BAKER STEPHEN JOHN | DIRECTOR; DIRECTOR/CHIEF EXECUTIVE OFFICER/PRESIDENT | — |
| CURTIS JAMES M | ASSISTANT SECRETARY, LEGAL COUNSEL; CORPORATE SECRETARY; LEGAL COUNSEL | — |
| SQUITIERI JANET | CHIEF COMPLIANCE OFFICER | — |
| MURPHY LEO JOHN | CHAIRMAN / DIRECTOR; DIRECTOR | — |
| DROMER ALAIN | DIRECTOR | — |
| VARTABEDIAN H RICHARD | CHAIRMAN OF THE BOARD; CHAIRMAN OF THE BOARD AND CEO & PRESIDENT | — |
| CAMPBELL JON R | DIRECTOR | — |
| HAZELL DEBORAH | CHIEF EXECUTIVE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-05-24 | regulatory | IN MAY 2023 THE COMPETITION AND MARKETS AUTHORITY ISSUED A STATEMENT OF OBJECTIONS TO FIVE BANKS (DEUTSCHE BANK, MORGAN STANLEY, ROYAL BANK OF CANADA, CITI, AND HSBC). IN FEBRUARY 2025, THE COMPETITION AND MARKETS AUTHORITY ANNOUNCED THAT IT HAD REACHED A SETTLEMENT WITH HSBC. HSBC ACCEPTED THAT A S… | Final | $30.0M |
| 2021-12-02 | regulatory | THE EUROPEAN COMMISSION IN DECEMBER 2021 COMPLETED A CARTEL INVESTIGATION INTO THE FOREIGN EXCHANGE ('FOREX') SPOT TRADING MARKET BY IMPOSING FINES ON FIVE FINANCIAL INSTITUTIONS, INCLUDING HSBC HOLDINGS PLC. THE COMMISSION'S INVESTIGATION FOCUSED ON THE TRADING OF THE G10 CURRENCIES. THE COMMISSION… | Final | $197.0M |
| 2018-01-18 | regulatory | IN JANUARY 2018, FOLLOWING THE CONCLUSION OF THE US DEPARTMENT OF JUSTICE'S (DOJ) INVESTIGATION INTO HSBC'S HISTORICAL FOREIGN EXCHANGE ACTIVITIES, HSBC HOLDINGS ENTERED INTO A THREE-YEAR DEFERRED PROSECUTION AGREEMENT WITH THE CRIMINAL DIVISION OF THE DOJ (THE FX DPA), REGARDING FRAUDULENT CONDUCT… | Final | $101.5M |
| 2017-09-29 | regulatory | IN SEPTEMBER 2017, FOLLOWING THE CONCLUSION OF THE US FEDERAL RESERVE BOARD'S REVIEW OF THE EFFECTIVENESS OF HSBC'S FX PRACTICES DURING THE PERIOD OF OCTOBER 2008 THROUGH OCTOBER 2013, HSBC HOLDINGS PLC AND HSBC NORTH AMERICA HOLDINGS INC. ENTERED INTO A CONSENT ORDER REGARDING CERTAIN DEFICIENCIES… | Final | $175.3M |
| 2016-12-07 | regulatory | IN DECEMBER 2016, THE EUROPEAN COMMISSION (THE 'COMMISSION') ISSUED A DECISION THAT IN EARLY 2007 HSBC, AMONG OTHER BANKS, COLLUDED ON EURO INTEREST RATE DERIVATIVE PRICING ELEMENTS, AND EXCHANGED RELATED SENSITIVE INFORMATION, IN BREACH OF EU ANTITRUST RULES. THE COMMISSION DETERMINED THAT THE DURA… | Final | $37.8M |
| City | State | Employees | Phone |
|---|---|---|---|
| SAN FRANCISCO | CA | 4 | 415-678-3002 |