FMR INVESTMENT MANAGEMENT (UK) LIMITED of LONDON, MA is an SEC-registered investment adviser (CRD 108273). Regulatory assets under management: $25.8B.
Compensation: % of AUM, Fixed, Commissions, Other.
Clients served: Pooled vehicles, Investment cos, Other.
Showing 25 of 93 people.
| Name | Role | Location |
|---|---|---|
| Mitchell Scott | DIRECTOR | Raleigh, NC |
| Gerard John McGraw | ELECTED MANAGER | Holmdel, NJ |
| NICOLE JANE MACARCHUK | CHIEF LEGAL OFFICER | SAN FRANCISCO, CA |
| Bryant Robert | CHIEF LEGAL OFFICER | Greenwich, CT |
| Edward Crosby Johnson Iv | ELECTED MANAGER | — |
| Abigail Pierrepont Johnson | ELECTED MANAGER | — |
| Michael Engber Wilens | ELECTED MANAGER | — |
| Stephen Charles Neff | ELECTED MANAGER | — |
| Christopher John Rimmer | DIRECTOR | — |
| Stephanie Jean Brown | CHIEF COMPLIANCE OFFICER | — |
| Mark David Flaherty | CO-CHIEF EXECTIVE OFFICER, DIRECTOR | — |
| Adrian James Tyerman | COMPLIANCE OFFICER | — |
| Jean-Philippe Provost | DIRECTOR | — |
| Kyle Robert Johnson | DIRECTOR | — |
| Karoline Nmn Rosenberg | CO-CHIEF EXECUTIVE OFFICER, DIRECTOR | — |
| Victoria Patricia Redgrave | DIRECTOR | — |
| SULLIVAN GERALD PAUL | DIRECTOR | — |
| KNOX FRANCIS VINCENT | CHIEF COMPLIANCE OFFICER | — |
| BROWN DAVID PAUL | DIRECTOR; MANAGING DIRECTOR OF RESEARCH, DIRECTOR | — |
| RATHGEBER KENNETH ALAN | CHIEF COMPLIANCE OFFICER | — |
| SPILLANE RICHARD AMBROSE | DIRECTOR, PRESIDENT | — |
| ROITER ERIC DANIEL | CHIEF LEGAL OFFICER | — |
| JOHNSON EDWARD CROSBY | DIRECTOR; ELECTED MANAGER | — |
| BULLEN PHILIP LINDSEY | DIRECTOR, PRESIDENT | — |
| WYNANT JS | TREASURER; TREASURER AND CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-05-22 | regulatory | ON MAY 22, 2023, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM THE HELLENIC CAPITAL MARKET COMMISSION ("HCMC") THAT FMR LLC FAILED TO NOTIFY THE HCMC AND THE ISSUING COMPANY OF A CHANGE IN SHAREHOLDINGS IN A GREEK COMPANY IN A TIMELY MANNER. THE NOTIFICATION WAS MADE THREE… | Final | — |
| 2018-05-21 | regulatory | ON MAY 21, 2018, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") THAT THE SFSA WAS ISSUING A FINE, EQUIVALENT TO APPROXIMATELY US$40,000, AGAINST FMR LLC BASED ON A FINDING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWEDISH… | Final | $40K |
| 2017-02-28 | regulatory | ON FEBRUARY 28, 2017, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") THAT THE SFSA WAS ISSUING A FINE, EQUIVALENT TO APPROXIMATELY US$1,700, AGAINST FMR LLC BASED ON A FINDING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWED… | Final | $2K |
| 2014-04-21 | regulatory | ON APRIL 21, 2014,FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM THE HELLENIC REPUBLIC CAPITAL MARKET COMMISSION (THE "HCMC") THAT THE HCMC WAS ISSUING A FINE, EQUIVALENT TO APPROXIMATELY $6,300, AGAINST FMR LLC BASED ON A FINDING THAT, IN 2007, FMR LLC, FOR SHARES HELD BY C… | Final | $6K |
| 2014-02-24 | regulatory | ON FEBRUARY 24, 2014, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") THAT THE SFSA WAS ISSUING A FINE, EQUIVALENT TO APPROXIMATELY US$9,000, AGAINST FMR LLC BASED ON A FINDING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWED… | Final | $9K |
| 2013-12-19 | regulatory | ON APRIL 14, 2014, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM LUXEMBOURG'S COMMISSION DE SURVEILLANCE DU SECTEUR FINANCIER (THE "CSSF") THAT THE CSSF WAS ISSUING AN ADMINISTRATIVE FINE OF APPROXIMATELY US$5,000 AGAINST FMR LLC BASED ON THE FINDING THAT FMR LLC, FOR SHARE… | Final | $5K |
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