INVESCO ASSET MANAGEMENT (JAPAN) LIMITED of TOKYO is an SEC-registered investment adviser (CRD 107155). Regulatory assets under management: $76.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
Showing 25 of 29 people.
| Name | Role | Location |
|---|---|---|
| Masakazu Hasegawa | STATUTORY AUDITOR | — |
| Jeremy Charles Simpson | DIRECTOR | — |
| Hideki Sato | CEO | — |
| Takashi Matsuo | DIRECTOR | — |
| Tadao Minaguchi | CIO | — |
| Shintaro Nonaka | CCO | TOKYO, M0 |
| Kaori Karai | DIRECTOR | — |
| Takuya Komine | CCO | TOKYO, M0 |
| ROGERS JOHN DAVIS | DIRECTOR | — |
| LO ANDREW TAK SHING | DIRECTOR | — |
| SIMPSON JEREMY CHARLES | DIRECTOR | — |
| SUGIO KUNIHIKO | DIRECTOR | — |
| NICHOLS DAVID WILLIAM | DIRECTOR | — |
| BENSON MICHAEL D'ARCY | DIRECTOR | — |
| PROUT ALEXANDER MAURICE | CEO; DIRECTOR | — |
| KAWAKAMI ATSUSHI | DIRECTOR | — |
| HASEGAWA MASAKAZU | DIRECTOR; DIRECTOR AND CHIEF COMPLIANCE OFFICER; STATUTORY AUDITOR | — |
| ARAHATA KAZUTAKA | CHIEF COMPLIANCE OFFICER | — |
| FUJINO TATEOMI | CHIEF COMPLIANCE OFFICER | — |
| KOGA NARABU | DIRECTOR | — |
| TOCHIKURA RYOSAKU | DIRECTOR | — |
| EBATA SHINICHI | DIRECTOR | — |
| INOUE KENICHI | DIRECTOR HEAD OF LEGAL & COMPLIANCE | — |
| SATO HIDEKI | CEO | — |
| OZAWA DAIJI | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-07-30 | regulatory | INVESCO LTD AND AIM INTERNATIONAL MUTUAL FUNDS FAILED TO SUBMIT VOTING RIGHTS NOTIFICATIONS TO BAFIN AND THE ISSUERS BY THE REQUIRED DEADLINE. BAFIN ISSUED A NOTICE OF HEARING ON JULY 30, 2020 TO INVESCO LTD ALLEGING THAT VIOLATIONS OF THE VOTING RIGHTS REQUIREMENTS OCCURED ON 26 OCCASSIONS RELATING… | Final | $310K |