BARING INTERNATIONAL INVESTMENT LTD of LONDON is an SEC-registered investment adviser (CRD 105724). Regulatory assets under management: $22.6B.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos.
Showing 25 of 44 people.
| Name | Role | Location |
|---|---|---|
| Jill Elyse Dinerman | DIRECTOR | — |
| Rhian Catrin Williams | DIRECTOR, SECRETARY; SECRETARY | — |
| Alexander Campbell Sutherland | DIRECTOR | — |
| Katherine Louise Kemp | DIRECTOR | — |
| Martin Scott Horne | DIRECTOR | — |
| Charlotte Michelle Phillips | DIRECTOR | — |
| SWAYNE JULIAN T | CHIEF EXECUTIVE OFFICER / DIRECTOR; CHIEF FINANCIAL OFFICER; DIRECTOR (+2 more) | — |
| DHILLON MALA S | DIRECTOR; DIRECTOR, CLO, CCO | — |
| HUGHES MICHAEL | DIRECTOR | — |
| BRENNAN DAVID J | CHAIRMAN; CHAIRMAN AND CHIEF EXECUTIVE OFFICER; CHAIRMAN & CHIEF EXECUTIVE (+1 more) | — |
| HARVEY GEORGE HENRY | DIRECTOR | — |
| SAVAGE PAUL | DIRECTOR | — |
| MISSELBROOK JOHN | CHIEF OPERATING OFFICER; DIRECTOR, COO | — |
| WEBER MARK DONALD | DIRECTOR | — |
| BIGGINS CHRISTOPHER GERALD | CHIEF COMPLIANCE OFFICER; DIRECTOR AND CHIEF COMPLIANCE OFFICER; DIRECTOR, CHIEF COMPLIANCE OFFICER | — |
| VALENSISE MARINO | DIRECTOR | — |
| OKORO SANDRA NGOZI | CHIEF LEGAL OFFICER; DIRECTOR | — |
| BOLSOVER JOHN DERRICK | CHAIRMAN | — |
| CLEGG MICHAEL D | DIRECTOR | — |
| HESKETT JOHN E | DIRECTOR | — |
| KENT JOHN | DIRECTOR | — |
| WOOLHOUSE ANGUS SUTHERLAND HAMISH | DIRECTOR | — |
| WOLTON PETER HUGH | CHIEF EXECUTIVE | — |
| AHTO LAURA ANNE | DIRECTOR | — |
| BURNS JOHN DOMINIC | CHIEF OPERATING OFFICER; DIRECTOR AND CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-03-31 | regulatory | IT WAS ALLEGED THAT MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY'S PRACTICES AND PROCEDURES DID NOT COMPLY WITH STATUTORY AND REGULATORY PROVISIONS: 18 DEL ADMIN. C.?1203-4.0 LIFE INSURANCE SOLICITATION DEFINITIONS; 18 DEL. ADMIN C. ?1204-5.2 DUTIES OF AGENTS AND BROKERS; 18 DEL. C. ?1204.7.1 DUTIES… | Final | $134K |
| 2022-05-26 | regulatory | MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY MUST CERTIFY ANNUALLY TO THE OFFICE OF THE INSURANCE COMMISSIONER ("OIC") THE INSURANCE PRODUCERS THAT ARE SELLING, SOLICITING OR NEGOTIATING THE COMPANY'S LONG TERM CARE ("LTC") INSURANCE PRODUCTS HAVE COMPLETED LTC REQUIREMENTS. THE CERTIFICATION IS REQU… | Final | $10K |
| 2022-04-12 | regulatory | IN 2003 THE INSURED PURCHASED A FLEXIBLE PREMIUM ADJUSTABLE LIFE INSURANCE POLICY WITH A FACE AMOUNT $500,000. IT WAS ALLEGED THAT MASSMUTUAL RAISED THE PREMIUMS AND CHANGED AND CANCELLED THE POLICY WITHOUT NOTIFYING THE INSURED. THE INSURED FURTHER ALLEDGED THAT THE AGENT DID NOT EXPLAIN THAT THE P… | Final | $1K |
| 2017-10-03 | regulatory | THE STATE OF CONNECTICUT INSURANCE DEPARTMENT CONDUCTED A MARKET CONDUCT EXAMINATION FOR THE PERIOD JANUARY 1, 2014 THROUGH DECEMBER 31, 2016 OF MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ("MASSMUTUAL"). MASSMUTUAL IS THE PARENT OF MML INVESTMENT ADVISERS, LLC. AT THE CONCLUSION OF THE EXAMINATION,… | Final | $61K |
| 2013-10-17 | regulatory | HUD ALLEGED THAT MASSMUTUAL FAILED TO SUBMIT (1) AUDITED FINANCIAL STATEMENTS AND SUPPLEMENTARY REPORTS; (2) THE ANNUAL RECERTIFICATION FEE; (3) THE CALL REPORTS; AND (4) THE ONLINE CERTIFICATION (COLLECTIVELY THE "ANNUAL RECERTIFICATION REQUIREMENTS") WITHIN 90 DAYS OF THE CLOSE OF THE FISCAL YEAR… | Final | $8K |
| 2012-04-20 | regulatory | THE COMMONWEALTH OF VIRGINIA, BUREAU OF INSURANCE (THE "BUREAU") ALLEGED THAT MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ("MASSMUTUAL") VIOLATED SUBSECTIONS 38.2-502(1) AND 14 VAC 5-40-40(A)(1) AND (A)(4), MARKETING COMMUNICATION STANDARDS AND REQUIREMENTS OF THE COMMONWEALTH OF VIRGINIA STATE CORP… | Final | $4K |
| 2012-01-01 | regulatory | THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ("DFS") COMMENCED AN INVESTIGATION FOR THE PERIOD OF 1/1/2012-5/31/2018. DURING ITS INVESTIGATION, DFS IDENTIFIED A PRACTICE ARISING FROM THE REPLACEMENT OF DEFERRED ANNUITY CONTRACTS WITH IMMEDIATE INCOME ANNUITY CONTRACTS IN VIOLATION OF THE DISC… | Final | $692K |