DWS INVESTMENTS AUSTRALIA LIMITED

DWS INVESTMENTS AUSTRALIA LIMITED of SYDNEY is an SEC-registered investment adviser (CRD 109112). Regulatory assets under management: $1.9B.

Registration

Business model

Compensation: % of AUM.

Clients served: Pooled vehicles, Investment cos.

Officers, owners & control persons (56)

Showing 25 of 56 people.

NameRoleLocation
Thomas R ShaneCHIEF COMPLIANCE OFFICERIowa City, IA
Susanna NY WongLEGAL
Simon John MurfinCHIEF FINANCIAL OFFICER AND DIRECTOR; DIRECTOR
David Kenneth IrvingDIRECTOR
Chris Theo RobinsonDIRECTOR
David Dunstan HendriksCHIEF COMPLIANCE OFFICER
Lidia Alexandra TomovaDIRECTOR
Macy Lai Kwan ChanCHIEF FINANCIAL OFFICER / DIRECTOR
Samantha Jane MasonCHIEF OPERATING OFFICER
Jung Won YeomCHIEF OPERATING OFFICER
FAY ANDREW JAMESCIO, AUSTRALIA; CIO & DIRECTOR; DIRECTOR
MAHER PHILLIPDIRECTOR; DIRECTOR & CHIEF LEGAL OFFICER
JAMES PENELOPECHIEF COMPLIANCE OFFICER
CARPENTER BRENDANDIRECTOR
MONAGHAN MICHAEL JOHNCOO, ASIA PACIFIC REGION
WILLIAMS MORRIS CHRISTOPHERDIRECTOR
LAWSON KRISTOR JOHNDIRECTOR; DIRECTOR / CHIEF FINANCIAL OFFICER
GARDINER ANNE BCHIEF COMPLIANCE OFFICER
MAYS SHAUNDIRECTOR
BOLINOWSKY PAUL LAWSONDIRECTOR
KENYON MICHAEL JOHN HURNECIO, DIRECTOR
JONES MALCOLM MURRAYDIRECTOR
DOMINGUEZ JAMES THOMASCHAIRMAN
MCLEOD MICHAELDIRECTOR
KAVOURAKIS SAMDIRECTOR

Disclosures (1,130)

Showing 10 of 90 distinct disclosure events.

InitiatedTypeAllegationsStatusAmount
2026-04-30regulatoryON APRIL 30, 2026, DEUTSCHE BANK AG, LONDON BRANCH ("DBAG") ENTERED INTO A SETTLEMENT WITH THE UNITED KINGDOM'S OFFICE OF FINANCIAL SANCTIONS IMPLEMENTATION ("OFSI") IN WHICH OFSI FOUND THAT DBAG VIOLATED REGULATION 12 OF THE RUSSIA (SANCTIONS) (EU EXIT) REGULATIONS 2019 FOR PROCESSING TWO PAYMENT T…Final$224K
2026-03-12regulatoryON MARCH 12, 2026, THE SAUDI CENTRAL BANK ("SAMA") FOUND THAT DEUTSCHE BANK AG, RIYADH BRANCH ("DBAG") VIOLATED ARTICLE 17 OF THE SAUDI BANKING CONTROL LAW FOR DEPOSIT REPORTING DISCREPANCIES IN DBAG'S SEPTEMBER 2025 AND OCTOBER 2025 REPORTS TO SAMA.Final$1K
2025-06-09regulatoryTHE SECURITIES AND FUTURES COMMISSION OF HONG KONG (THE "SFC") COMMENCED INVESTIGATIONS INTO DEUTSCHE BANK AG, HONG KONG BRANCH ("DBHK") FOLLOWING SELF-REPORTS MADE BY DBHK REGARDING SELF-IDENTIFIED INCIDENTS, WHICH THE SFC FOUND VIOLATED GENERAL PRINCIPLES 2 (DILIGENCE), 7 (COMPLIANCE), AND PARAGRA…Final$3.0M
2025-06-02regulatoryICE CLEAR CREDIT LLC ("ICE CLEAR CREDIT") FOUND THAT DEUTSCHE BANK AG ("DBAG") FAILED TO COMPLY WITH ICE CLEAR CREDIT RULE 404(B) RELATING TO THE TIMELY SUBMISSION OF TWO END-OF-DAY PRICES.Final$4K
2025-04-11regulatoryBLOOMBERG SEF LLC ("BSEF") FOUND THAT DEUTSCHE BANK AG ("DBAG") FAILED TO REPORT ERROR TRADES IN A TIMELY MANNER IN ACCORDANCE WITH BSEF RULES, AND THAT DBAG FAILED TO ADMINISTER SUPERVISORY PROCEDURES TO ENSURE THAT ERROR TRADES WERE PROPERLY REPORTED AND CORRECTED ON BSEF.Final$135K
2025-03-24regulatoryON MAY 13, 2025, THE RESERVE BANK OF INDIA ("RBI") FOUND THAT DEUTSCHE BANK AG, INDIA ("DBAG") VIOLATED AN RBI DIRECTIVE BY FAILING TO REGISTER CERTAIN LARGE ACCOUNTS WITH THE CREDIT REPOSITORY OF INFORMATION ON LARGE CREDIT ("CRILC") PLATFORM.Final$58K
2025-03-17regulatoryON APRIL 1, 2025, DWS GROUP GMBH & CO. KGAA AND DWS INVESTMENT GMBH (TOGETHER, "DWS") RECEIVED AN ADMINISTRATIVE FINE NOTICE FROM THE FRANKFURT PUBLIC PROSECUTOR FINDING THAT DWS COMMITTED AN ADMINISTRATIVE OFFENSE BY NEGLIGENTLY BREACHING A REQUIREMENT REGARDING PROPER BUSINESS OPERATIONS IN THE GE…Final$27.5M
2024-12-20regulatoryTHE SEC FOUND THAT DEUTSCHE BANK SECURITIES, INC. ("DBSI") FAILED TO TIMELY FILE CERTAIN SUSPICIOUS ACTIVITY REPORTS, AND, ON CERTAIN OCCASIONS FAILED TO PROMPTLY INVESTIGATE OR COMPLETE INVESTIGATIONS OF POTENTIALLY SUSPICIOUS ACTIVITY WITHIN A REASONABLE PERIOD OF TIME. THE SEC FOUND THAT FROM APR…Final$4.0M
2024-07-04regulatoryTHE GERMAN FEDERAL FINANCIAL SUPERVISORY AUTHORITY ("BAFIN") DETERMINED THAT THE CONSOLIDATED FINANCIAL STATEMENTS OF DEUTSCHE BANK AG ("DBAG") FOR FY2019 MISAPPLIED THE INTERNATIONAL FINANCIAL REPORTING STANDARDS ("IFRS") - INTERNATIONAL ACCOUNTING STANDARDS ("IAS") RELATING TO SPECIFICS OF THE DIS…Final
2024-06-20regulatoryTHE SECURITIES AND COMMODITIES AUTHORITY - UAE ("SCA") FOUND THAT DEUTSCHE BANK AG, DUBAI BRANCH (DEUTSCHE SECURITIES AND SERVICES) ("DSS") FAILED TO TIMELY SUBMIT A REQUIRED ANNUAL FINANCIAL REPORT FOR THE PERIOD ENDING DECEMBER 31, 2023.On Appeal$14K

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