CIBC ASSET MANAGEMENT INC. of TORONTO, ON is an SEC-registered investment adviser (CRD 106508). Regulatory assets under management: $162.8B.
Compensation: % of AUM, Performance.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Investment cos.
Showing 25 of 118 people.
| Name | Role | Location |
|---|---|---|
| Taylor M Paul | PRESIDENT AND CHIEF OPERATING OFFICER OF THE TAL FUND DIVISION | Denver, CO |
| Taylor J Paul | PRESIDENT AND CHIEF OPERATING OFFICER OF THE TAL FUND DIVISION | LOS ANGELES, CA |
| Bennett Lee | DIRECTOR | Vienna, VA |
| Elena Nmn Tomasone | VICE PRESIDENT, BUSINESS AND INVESTMENT SERVICES | — |
| Frank Nmn Vivacqua | DIRECTOR | — |
| Stephen Anthony Gittens | DIRECTOR | — |
| Robert Francis Cancelli | DIRECTOR | — |
| Wilhelmina Stephania Ditchfield | CHAIR | — |
| Steven James De Luca | DIRECTOR | — |
| Winnie Nmn Wakayama | CHIEF FINANCIAL OFFICER | — |
| Saher Nmn Kazmi | CHIEF COMPLIANCE OFFICER | — |
| Eve Nmn Jedrzejewska | CHIEF ADMINISTRATIVE OFFICER | — |
| Eric Nmn Belanger | PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| David Michael Scandiffio | PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| ANDERSON THOMAS JOHN | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER, DIRECTOR | — |
| WALKER LISA ANN | CHIEF FINANCIAL OFFICER | — |
| CAMPBELL RICHARD ALEXANDER | DIRECTOR AND GLOBAL CHIEF INVESTMENT OFFICER; DIRECTOR, PRESIDENT & CHIEF OPERATING OFFICER OF TAL INSTITUTIONAL DIVISION | — |
| DONNELLY DANIEL RICHARD | DIRECTOR | — |
| NADEAU JEAN-PIERRE | ASSISTANT VICE PRESIDENT BUSINESS MANAGEMENT; CHIEF COMPLIANCE OFFICER, SENIOR DIRECTOR, BUSINESS MANAGEMENT AND OFFICER RESPONSIBLE FOR BUSINESS ACTIVITIES IN QUEBEC; SENIOR DIRECTOR, BUSINESS MANAGEMENT | — |
| LEWIS DEBORAH JOAN | DESIGNATED AML OFFICER, FIRST VICE PRESIDENT AND HEAD OF NATIONAL SERVICING; FIRST VICE-PRESIDENT AND HEAD OF NATIONAL SERVICING; FIRST VICE-PRESIDENT, SERVICING" AND DESIGNATED ANTI-MONEY LAUNDERING OFFICER | — |
| THYAGARAJAN JYOTHI MULLAVILA | CORPORATE SECRETARY | — |
| BRAIVE JOHN WILLIAM | 100% OWNER; DIRECTOR, PRESIDENT & CHIEF EXECUTIVE OFFICER OF TAL INSTITUTIONAL DIVISION; DIRECTOR, VICE-CHAIRMAN | — |
| DODIG VICTOR G | DIRECTOR, CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | — |
| COOKE PETER NOEL DAVID | DIRECTOR | — |
| DE CLAPIERS LUC | FIRST VICE-PRESIDENT, GLOBAL ASSET ALLOCATION | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-24 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("COMMISSION") HAS REASON TO BELIEVE THAT FROM AT LEAST SEPTEMBER 2018 TO THE PRESENT ("RELEVANT PERIOD"), CANADIAN IMPERIAL BANK OF COMMERCE ("CIBC") VIOLATED, AS SET FORTH BELOW, SECTIONS 4S(F)(1)(C), 4S(G)(1) AND (3), AND 4S(H)(1)(B) OF THE COMMODITY EXCHA… | Final | $30.0M |
| 2024-09-24 | regulatory | ON SEPTEMBER 24, 2024, THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ANNOUNCED A SETTLEMENT WITH CANADIAN IMPERIAL BANK OF COMMERCE ("CIBC") FOR FAILING TO TIMELY REPORT SWAP TRANSACTIONS TO A REGISTERED SWAP DATA REPOSITORY AS REQUIRED BY THE COMMODITY EXCHANGE ACT (CEA) AND CFTC REGULATIONS SE… | Final | $1.3M |
| 2024-09-24 | regulatory | ON SEPTEMBER 24, 2024, THE SECURITIES AND EXCHNAGE COMMISSION (SEC) ANNOUNCED A JOINT SETTLEMENT WITH CIBC PRIVATE WEALTH ADVISORS, INC. AND CIBC WORLD MARKETS CORP. (COLLECTIVELY FOR PURPOSES OF THIS PARAGRAPH, CIBC) IN WHICH CIBC AGREED TO PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $12,000,000… | Final | $12.0M |
| 2024-09-13 | regulatory | THE ARIZONA CORPORATION COMMISSION (ACC) DETERMINED THAT CIBC WORLD MARKETS, INC. (CWMI) VIOLATED A.R.S. § 44-1841 IN 2023, WHEN IT FAILED TO MAINTAIN ITS REGISTRATION EXEMPTION STATUS BY FAILING TO FILE THE REQUIRED EXEMPTION AND PAY THE REQUISITE FEE FOR OFFERING AND SELLING SECURITIES WITHIN OR F… | Final | $50K |
| 2024-07-17 | regulatory | THE SOUTH KOREAN SECURITIES AND FUTURES COMMISSION (SKSFC) ISSUED A NOTICE OF PENALTY INDICATING THAT CIBC WORLD MARKETS INC. (CWMI) EXECUTED AN IMPERMISSIBLE NAKED SHORT SALE. ON FEBRUARY 5, 2021, CWMI ATTEMPTED TO SELL SHARES HELD BY A CLIENT ON THE KOREA EXCHANGE, AND DUE TO AN ADMINISTRATIVE ERR… | Final | $26K |
| 2023-05-04 | regulatory | CIBC WORLD MARKETS CORP. VIOLATED CBOE RULES 4.2, 5.12, 8.1, 8.2, AND OPTIONS CLEARING CORPORATION'S ("OCC") BY-LAWS ARTICLE VI, SECTION 1 IN THAT THEY IMPROPERLY USED THE OCC ADJUSTMENT PROCESS. THE FIRM ALSO VIOLATED CBOE RULE 8.16 IN THAT THEY DID NOT ESTABLISH SUFFICIENT SUPERVISORY PROCEDURES R… | Final | $80K |
| 2019-10-28 | regulatory | FROM FEBRUARY 2017 THROUGH OCTOBER 2017, CIBC WORLD MARKETS CORP (CIBC) FAILED TO ACCURATELY RECORD THE ORDER RECEIPT AND ORDER TRANSMISSION TIMES OF MANUAL OPTIONS ORDERS IT HAD ROUTED TO THE PHLX AND VARIOUS OTHER NATIONAL SECURITIES EXCHANGES FOR EXECUTION IN VIOLATION OF RULE 17A-3(A)(6)(1) OF T… | Final | $33K |
| 2019-05-06 | regulatory | THE CHICAGO BOARD OF OPTIONS, INC. ("CBOE") DETERMINED THAT ON OR ABOUT JUNE 1, 2016, CIBC WORLD MARKETS CORP. ("CIBC") BY AND THROUGH ITS ASSOCIATED PERSON, ACCEPTED A CUSTOMER HELD ORDER TO SELL SPX AND XSP AUGUST PUT OPTIONS AND IN TURN (1) ENGAGED IN ANTICIPATORY HEDGING TRANSACTIONS IN RELATED… | Final | $100K |
| 2015-02-18 | regulatory | ON JULY 1, 2013 CIBC BROKERED AND ENTERED INTO TWO EXCHANGE FOR RELATED POSITIONS (EFRPS) WHICH DID NOT CONTAIN DOCUMENTATION OF THE RELATED OTC TRANSACTION AND, THEREFORE, WERE NOT BONA FIDE EFRPS. THE NYMEX BUSINESS CONDUCT COMMITTEE PANEL FOUND THAT AS A RESULT CIBC VIOLATED LEGACY EXCHANGE RULE… | Final | $15K |