NEWTON INVESTMENT MANAGEMENT LTD of LONDON is an SEC-registered investment adviser (CRD 111208). Regulatory assets under management: $42.4B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 55 people.
| Name | Role | Location |
|---|---|---|
| Kevin James Carter | INDEPENDENT NON-EXECUTIVE DIRECTOR | London, X0 |
| Judy Marlinski | INDEPENDENT NON-EXECUTIVE DIRECTOR | Smithfield, RI |
| John Randolph Miller | INDEPENDENT NON EXECUTIVE DIRECTOR | — |
| Stephen Niles Potter | INDEPENDENT NON-EXECUTIVE DIRECTOR | — |
| Richard William Watt | INDEPENDENT NON-EXECUTIVE DIRECTOR | — |
| Elizabeth Anne Roach | CHIEF COMPLIANCE OFFICER | — |
| James Morecroft Helby | CHIEF RISK OFFICER & DIRECTOR | — |
| Raman Srivastava | CHIEF EXECUTIVE OFFICER AND DIRECTOR | Winnipeg, A2 |
| Susan Margaret Noble | INDEPENDENT NON-EXECUTIVE DIRECTOR | — |
| Mark Richard Stancombe | DIRECTOR | — |
| Sharon French | INDEPENDENT NON-EXECUTIVE DIRECTOR | Jersey City, NJ |
| Judy Anne Marlinski | INDEPENDENT NON-EXECUTIVE DIRECTOR | — |
| John Robert Porter | CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| HARRIS MITCHELL EVAN | CHIEF EXECUTIVE OFFICER AND DIRECTOR; DIRECTOR | — |
| LADD EDWARD HOMER | DIRECTOR | — |
| SORRELL MICHELLE | CHIEF LEGAL OFFICER | — |
| BUTLER DONALD PAUL | DIRECTOR | — |
| MORRISSEY HELENA | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND DIRECTOR; DIRECTOR | — |
| MUNROE JEFF | CHIEF INVESTMENT OFFICER; CHIEF INVESTMENT OFFICER AND DIRECTOR; DIRECTOR | — |
| TURNER KATE | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND DIRECTOR; DIRECTOR | — |
| BASSIL JEREMY | CHIEF LEGAL OFFICER | — |
| DOWNS ANDREW | CHIEF EXECUTIVE OFFICER, COO & DIRECTOR; CHIEF FINANCIAL OFFICER; CHIEF OPERATING OFFICER (+3 more) | — |
| SCOTT MARK WILLIAM | DIRECTOR | — |
| TUTT STEPHEN BRIAN | CHIEF FINANCIAL OFFICER | — |
| CHRISTIE GUY CHARLES | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-11-29 | regulatory | ON 21 FEBRUARY 2019, THE UK FINANCIAL CONDUCT AUTHORITY ("FCA") FOUND THAT NEWTON INVESTMENT MANAGEMENT LIMITED ("NIM"), THROUGH THE ACTIONS OF A FORMER EMPLOYEE IN 2014 AND 2015, SHARED INFORMATION WITH THREE OTHER UK INVESTMENT ADVISERS IN RELATION TO TWO INITIAL PUBLIC OFFERINGS AND ONE PLACING B… | Final | — |
| 2017-06-26 | regulatory | THE FEDERAL RESERVE ALLEGED VIOLATIONS OF REGULATION Y OF THE BOARD OF GOVERNORS (12 C.F.R. § 225) FOR ITS REGULATORY ACCOUNTING TREATMENT OF CERTAIN ASSETS OF VARIABLE INTEREST ENTITIES (THE "VIES"). | Final | $3.0M |
| 2017-06-26 | regulatory | THE FEDERAL RESERVE ALLEGED VIOLATIONS OF REGULATION Y OF THE BOARD OF GOVERNORS (12 C.F.R. ? 225) FOR ITS REGULATORY ACCOUNTING TREATMENT OF CERTAIN ASSETS OF VARIABLE INTEREST ENTITIES (THE "VIES"). | Final | $3.0M |
| 2017-01-12 | regulatory | THE SEC STAFF ALLEGED VIOLATIONS OF SECTIONS 13(B)(2)(A) & (B) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR BOOKS AND RECORDS AND INTERNAL REGULATORY ACCOUNTING CONTROL DEFICIENCIES IN CONNECTION WITH THE CALCULATION OF RISK-BASED REGULATORY CAPITAL RATIOS PRESENTED IN ANNUAL AND QUARTERLY REPORTS FIL… | Final | $6.6M |
| 2015-08-18 | regulatory | THE SEC STAFF ALLEGED VIOLATIONS OF THE U.S. FOREIGN CORRUPT PRACTICES ACT IN CONNECTION WITH THE PROVISION OF A LIMITED NUMBER OF INTERNSHIPS TO RELATIVES OF SOVEREIGN WEALTH FUND OFFICIALS. | Final | $14.8M |
| 2012-03-12 | civil | THIS LAWSUIT ALLEGES THAT THE BANK OF NEW YORK MELLON CORPORATION ("BNY MELLON") IMPROPERLY CHARGED AND REPORTED PRICES FOR STANDING INSTRUCTION FOREIGN EXCHANGE ("FX") TRANSACTIONS EXECUTED IN CONNECTION WITH CUSTODY SERVICES PROVIDED BY BNY MELLON. PLAINTIFFS ASSERT CLAIMS FOR BREACH OF CONTRACT,… | Final | — |
| 2011-10-04 | civil | THE LAWSUIT ALLEGES THAT THE BANK OF NEW YORK MELLON (THE "BANK") IMPROPERLY CHARGED AND REPORTED PRICES FOR STANDING INSTRUCTION FOREIGN EXCHANGE ("FX") TRANSACTIONS EXECUTED IN CONNECTION WITH CUSTODY SERVICES PROVIDED BY THE BANK. THE REGISTRANT IS NOT A DEFENDANT TO THIS ACTION. | Final | — |
| 2011-06-01 | civil | THIS IS A PUTATIVE CLASS ACTION ALLEGING THAT BNY MELLON IMPROPERLY CHARGED AND REPORTED PRICES FOR STANDING INSTRUCTION FOREIGN EXCHANGE TRANSACTIONS EXECUTED IN CONNECTION WITH CUSTODY SERVICES PROVIDED BY BNY MELLON. PLAINTIFF ASSERTS BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, AND UNJUST ENRIC… | Final | — |