GAM LONDON LIMITED of LONDON is an SEC-registered investment adviser (CRD 110670). Regulatory assets under management: $9.4B.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos.
Showing 25 of 42 people.
| Name | Role | Location |
|---|---|---|
| MARK PERRY | COMPLIANCE OFFICER | SANTA MONICA, CA |
| Chris Beevor | COMPLIANCE OFFICER | — |
| Duncan S Whale | DIRECTOR | — |
| David R J Kemp | DIRECTOR | — |
| HANGES ANDREW | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND CHAIRMAN OF THE BOARD | — |
| WILLS ANDREW | DIRECTOR | — |
| GRENDER GORDON DAVID | DIRECTOR | — |
| BENNETT JOHN | DIRECTOR | — |
| SMOUHA JEREMY A | DIRECTOR | — |
| KLEEMAN PETER | DIRECTOR | — |
| SMITH DAVID | DIRECTOR | — |
| BUNKER MICHAEL | DIRECTOR | — |
| GINSBERG JEFFREY | DIRECTOR | — |
| NEWLANDS FIONA | CHIEF COMPLIANCE OFFICER | — |
| SULLIVAN SCOTT | DIRECTOR | — |
| HAYWOOD TIMOTHY CHRISTOPHER ASHLEY | DIRECTOR | — |
| WALLIS CRAIG | DIRECTOR | — |
| WAINER GRAHAM DEREK | DIRECTOR | — |
| TITMAN MELANIE ADRIENNE | GLOBAL HEAD OF LEGAL AND COMPLIANCE | — |
| SULLIVAN PATRICK NMN | DIRECTOR | — |
| WITHERS GARY NIGEL | NON-EXECUTIVE DIRECTOR | — |
| HANGES ANDREW NMN | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND CHAIRMAN OF THE BOARD | — |
| WILLS ANDREW MICHAEL | DIRECTOR | — |
| SMITH DAVID IAN | DIRECTOR | — |
| BUNKER MICHAEL STEWART | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-10-01 | regulatory | SIX EXCHANGE REGULATION AG ("SIX"), THE SWISS LISTING AUTHORITY UPHELD SANCTIONS AGAINST GAM HOLDING AG RELATING TO BREACHING IFRS ACCOUNTING STANDARDS IN CONNECTION WITH ITS ACQUISITION OF CANTAB CAPITAL PARTNERS LLP ("CANTAB") IN 2016. IN CONNECTION WITH THIS ACQUISITION, GAM HOLDING ENTERED INTO… | Final | $425K |
| 2018-07-31 | regulatory | GAM INTERNATIONAL MANAGEMENT LIMITED (GIML) HAS REACHED A SETTLEMENT WITH THE FCA. THE FCA OPENED THE INVESTIGATION INTO GIML FOLLOWING THE SUSPENSION OF AN INVESTMENT DIRECTOR ON 31ST JULY 2018. THIS SETTLEMENT CONCERNS THE OPERATION OF GIML'S CONFLICTS OF INTEREST FRAMEWORK BETWEEN NOVEMBER 2014 A… | Final | $12.4M |
| 2016-08-18 | regulatory | THIS FOLLOWED AN INCIDENT WHEREBY GIML EXECUTED TWO EXCHANGE FOR RELATED POSITION ("EFRP") TRANSACTIONS IN THE 10-YEAR U.S. TREASURY NOTE FUTURES MARKET THAT WERE CONTINGENT UPON EACH OTHER FOR THE PURPOSE OF OFFSETTING THE RELATED POSITION WITHOUT THE INCURRENCE OF MARKET RISK. A PANEL OF THE CBOT… | Final | $25K |