FIRST SENTIER INVESTORS INTERNATIONAL IM LIMITED of EDINBURGH is an SEC-registered investment adviser (CRD 110992). Regulatory assets under management: $16.1B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 62 people.
| Name | Role | Location |
|---|---|---|
| Jane Philippa Louise Daniel | CHIEF RISK OFFICER; DIRECTOR AND CHIEF RISK OFFICER | London, X0 |
| Gary Nicholas Cotton | DIRECTOR; MANAGING DIRECTOR EMEA, CHIEF OF STAFF AND CHAIRMAN; NON-INDEPENDENT NON-EXECUTIVE DIRECTOR | London, X0 |
| Paul Watson | CHIEF INVESTMENT OFFICER & DIRECTOR; DIRECTOR; DIRECTOR STEWART IVORY & COMPANY (INTERNATIONAL) LTD | Tampa, FL |
| Paul A Watson | CHIEF INVESTMENT OFFICER & DIRECTOR; DIRECTOR; DIRECTOR STEWART IVORY & COMPANY (INTERNATIONAL) LTD | Tampa, FL |
| Mark David Steinberg | CHIEF EXECUTIVE OFFICER; GROUP CHIEF EXECUTIVE OFFICER | Sydney, C3 |
| Lisa Jane Warburton | GROUP GENERAL COUNSEL | — |
| Amanda Renee Gazal | CHIEF OPERATING OFFICER | — |
| Harry Patrick Moore | GROUP CHIEF EXECUTIVE OFFICER | — |
| Ashley Thomas Armstrong Conn | CHIEF FINANCIAL AND STRATEGY OFFICER | — |
| Suzanne Clare Evans | GLOBAL CHIEF FINANCIAL AND STRATEGY OFFICER | — |
| Baronet Kerry-Leigh | REGIONAL MANAGING DIRECTOR, EMEA & HEAD OF PRODUCT | — |
| Vicky Wai-Choo Kubitscheck | INDEPENDENT NON-EXECUTIVE DIRECTOR; NON-EXECUTIVE DIRECTOR | — |
| Peter John Hawkins | CHIEF COMPLIANCE OFFICER | — |
| Christine Elaine Johnson | INDEPENDENT NON-EXECUTIVE DIRECTOR | — |
| JOHNSON EDWARD FRANCIS | NON-EXECUTIVE DIRECTOR | — |
| STEINBERG RICHARD DAVID | CHIEF EXECUTIVE OFFICER; DIRECTOR; GLOBAL CHIEF EXECUTIVE OFFICER | — |
| LAYBOURN GRAHAM | HEAD OF COMPLIANCE/ COLONIAL FIRST STATE INVESTMENTS UK; HEAD OF CORPORATE RISK MANAGEMENT | — |
| COOPER GREGORY ROBERT | CHIEF FINANCE OFFICER & DIRECTOR; CHIEF FINANCIAL OFFICER & DIRECTOR; CHIEF OPERATING OFFICER & DIRECTOR | — |
| NEGUS WARWICK MARTIN | DIRECTOR | — |
| GRACIE DUNCAN | CHIEF COMPLIANCE OFFICER | — |
| HAWKINS PETER JOHN | CHIEF COMPLIANCE OFFICER | — |
| ADAMS ROBERT WILLIAM | CEO- STEWART IVORY & COMPANY (INTERNATIONAL) LTD; CHIEF EXECUTIVE OFFICER & DIRECTOR | — |
| ALLEN BRIAN SCOTT | EMEA HEAD OF LEGAL; EXECUTIVE LEGAL COUNSEL | — |
| LAKHANI KANESH VALLABHDAS | DIRECTOR | — |
| GATELY PAUL GERARD | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-06-06 | regulatory | ON JUNE 6, 2019, SWITZERLAND'S COMPETITION COMMISSION (THE "COMPETITION COMMISSION") CONCLUDED AMICABLE SETTLEMENTS WITH SEVERAL BANKS, INCLUDING AFFILIATE MUFG BANK LTD. ("MUFG BANK"), AND FINED THE BANKS FOR PARTICIPATING IN ANTI-COMPETITIVE ARRANGEMENTS IN FOREIGN EXCHANGE SPOT TRADING. THE COMPE… | Final | $1.5M |
| 2019-05-16 | regulatory | ON MAY 16, 2019, THE EUROPEAN COMMISSION (THE "COMMISSION") IN A SETTLEMENT DECISION FINED AFFILIATE MUFG BANK LTD. ("MUFG BANK") ALONG WITH SEVERAL OTHER BANKS FOR VIOLATING EUROPEAN UNION ANTITRUST RULES IN CONNECTION WITH TRADING IN THE SPOT FOREIGN EXCHANGE MARKET FOR 11 CURRENCIES. THECOMMISSIO… | Final | $77.9M |
| 2019-02-22 | regulatory | THE OCC ISSUED ON FEBRUARY 22, 2019 A CEASE AND DESIST ORDER AGAINST THE NEW YORK (PRIMARY), CHICAGO,AND LOS ANGELES FEDERAL BRANCHES OF THE FIRM'S AFFILIATE, MUFG BANK, LTD., TOKYO, JAPAN, FOR VIOLATING THE BANK SECRECY ACT (BSA) AND ITS UNDERLYING REGULATIONS. THE OCC FOUND THE BRANCHES' BSA COMPL… | Final | — |
| 2017-11-08 | civil | FOLLOWING AFFILIATE MUFG BANK'S CONVERSION OF ITS STATE BANKING LICENSES ISSUED BY THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ("DFS") TO FEDERAL BANKING LICENSES ISSUED BY THE OFFICE OF THE COMPTROLLER OF THE CURRENCY IN NOVEMBER 2017, DFS ISSUED AN ORDER ASSERTING CONTINUING REGULATORY AUT… | Final | $33.0M |
| 2017-02-09 | regulatory | THE PRUDENTIAL REGULATION AUTHORITY ("PRA") IMPOSED A FINE OF 17.85M POUNDS ON MUFG AND A FINE OF 8.925M POUNDS ON MUFG SECURITIES EMEA PLC FOR FAILING TO BE OPEN AND COOPERATIVE WITH THE PRA IN RELATION TO AN ENFORCEMENT ACTION ON MUFG BY THE NEW YORK DEPARTMENT OF FINANCIAL SERVICES | Final | $10.8M |
| 2015-02-19 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS OR CONCLUSIONS IN THE ORDER, MUFG CONSENTED TO THE ENTRYOF THE ORDER WHICH FOUND THAT FROM AT LEAST JULY 2009 TO DECEMBER 2014, MUFG, BY AND THROUGH ONE OF ITS TRADERS LOCATED IN JAPAN, ENGAGED IN THE DISRUPTIVE TRADING PRACTICE OF "SPOOFING" VARIOUS FUTURES… | Final | $600K |
| 2014-11-18 | regulatory | MUFG WRONGFULLY MISLED THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES (DFS) IN CONNECTION WITH ITS UNDERSTANDING OF MUFG'S U.S. DOLLAR CLEARING SERVICES ON BEHALF OF SANCTIONED SUNDANESE, IRANIANAND BURMESE PARTIES. UNDER THE TERMS OF THE AGREEMENT WITH DFS, MUFG HAS MADE A PAYMENT OF US$315MIL… | Final | $315.0M |
| City | State | Employees | Phone |
|---|---|---|---|
| LONDON | — | 45 | 44(0) 207 332 6500 |