CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD of VANCOUVER, BC is an SEC-registered investment adviser (CRD 107557). Regulatory assets under management: $85.6B.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos, Other.
Showing 25 of 61 people.
| Name | Role | Location |
|---|---|---|
| George P Ellis | VICE PRESIDENT | Bethesda, MD |
| John Warren Stoddart | DIRECTOR & VICE PRESIDENT | Toronto, A6 |
| George H Ellis | DIRECTOR; VICE PRESIDENT | Bethesda, MD |
| Jennifer Drake | DIRECTOR | New York, NY |
| Patrick David Robitaille | CORPORATE SECRETARY | — |
| Eric Roman Hasenauer | SN. VICE PRESIDENT,CO-HEAD | — |
| Gary J Simonette | VICE PRESIDENT | — |
| Stephen Edward Reynolds | VICE PRESIDENT | — |
| Timothy Michael Marzec | VICE PRESIDENT | — |
| John Wyatt Ricketts | SN. VICE PRESIDENT,CO-HEAD | — |
| Michael John Walsh | DIRECTOR | — |
| Martin Luis Gerber | DIRECTOR & PRESIDENT | — |
| Phillip John Cotterill | DIRECTOR & VICE PRESIDENT | — |
| Gary Norman Baker | DIRECTOR | — |
| Steven Benard Huang | DIRECTOR AND VICE PRESIDENT; DIRECTOR & VICE PRESIDENT | — |
| Derrick Paul Crowe | CHIEF COMPLIANCE OFFICER | — |
| Andrew David Zimcik | DIRECTOR | — |
| Taylor Jordan Cal Sutter | DIRECTOR | — |
| Calum Mackenzie | DIRECTOR | — |
| David Ellis George | DIRECTOR | — |
| BRENNAN PATRICK | VICE PRESIDENT | — |
| GERBER MARTIN LUIS | DIRECTOR; DIRECTOR & PRESIDENT | — |
| LEAVENS KATHLEEN AGNES | CHIEF COMPLIANCE OFFICER; COMPLIANCE OFFICER; COMPLIANCE OFFICER & SECRETARY | — |
| LUNN LARRY RAE | DIRECTOR, CHAIRMAN; DIRECTOR, CHAIRMAN, PRESIDENT | — |
| MACDOUGALL GORDON HOWARD | DIRECTOR, VICE CHAIRMAN; DIRECTOR, VICE PRESIDENT; VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-02-24 | regulatory | CONNOR, CLARK & LUNN INVESTMENT MANAGEMENT LTD. ("CC&L") FAILED TO REPORT SHORT POSITIONS WITHIN THE REQUIRED TIME PERIOD ON FIVE OCCASSIONS BETWEEN JULY 2019 AND APRIL 2020. ON ONE OCCASSION, CC&L DID NOT CANCEL A FILING THAT WAS MADE IN ERROR (INCORRECT YEAR). THE ISSUE WAS IDENTIFIED BY CC&L AND… | Final | $40K |
| 2019-09-26 | regulatory | CONNOR, CLARK & LUNN INVESTMENT MANAGEMENT LTD.("CC&L") FAILED TO REPORT A SHORT POSITION IN ELTEL AB WITHIN THE REQUIRED TIME PERIOD. THE REPORTING WAS DUE ON JULY 6, 2017 AND WAS SUBMITTED BY CC&L'S 3RD PARTY SERVICE PROVIDER ON JULY 7, 2017. THE DELAY WAS THE RESULT OF THE SERVICE PROVIDER HAVING… | Final | $5K |
| 2019-09-26 | regulatory | CONNOR, CLARK & LUNN INVESTMENT MANAGEMENT LTD. ("CC&L") FAILED TO REPORT A SHORT POSITION IN RECIPHARMA AB WITHIN THE REQUIRED TIME PERIOD. THE REPORTING WAS DUE ON JULY 10, 2017 AND WAS SUBMITTED BY CC&L'S 3RD PARTY SERVICE PROVIDER ON JULY 12, 2017. THE DELAY WAS THE RESULT OF THE SERVICE PROVIDE… | Final | $5K |
| 2019-03-17 | regulatory | CONNOR, CLARK & LUNN INVESTMENT MANAGEMENT LTD. ("CC&L") FAILED TO REPORT A SHORT POSITION IN ASTEK A/S WITHIN THE REQUIRED TIME PERIOD. THE REPORTING WAS DUE ON MARCH 19, 2018 AND WAS SUBMITTED BY CC&L'S THIRD PARTY SERVICE PROVIDER ON MARCH 22, 2018. THE DELAY WAS THE RESULT OF THE SERVICE PROVIDE… | Final | $20K |