FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED of LONDON is an SEC-registered investment adviser (CRD 111360). Regulatory assets under management: $40.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos, Other.
Showing 25 of 58 people.
| Name | Role | Location |
|---|---|---|
| Collins Michael | DIRECTOR | Manchester, NH |
| Thomas Clifton Merchant | CHIEF LEGAL OFFICER | — |
| Euan Angus Wilson | DIRECTOR | — |
| Nigel John Anderson | DIRECTOR | — |
| Aaron Kirby | DIRECTOR | — |
| Andrew James Ashton | CHIEF EXECUTIVE AND EXECUTIVE DIRECTOR | — |
| Nathan James Douglas | CHIEF COMPLIANCE OFFICER | London, X0 |
| Fraser Stuart Inglis | EXECUTIVE DIRECTOR | — |
| Gwen Louise Shaneyfelt | DIRECTOR | — |
| ANDERSON THOMAS JOHN | DIRECTOR | — |
| FLANAGAN MARTIN LAWRENCE | DIRECTOR | — |
| WILKINS GARRY JOHN | DIRECTOR | — |
| ROWE BRIAN DAVID | EUROPEAN CHIEF COMPLIANCE OFFICER; EUROPEAN CHIEF COMPLIANCE OFFICER & MONEY LAUNDERING REPORTING OFFICER | — |
| JOHNSON BRENT EUGENE | DIRECTOR | — |
| MERCHANT THOMAS CLIFTON | CHIEF LEGAL OFFICER | — |
| LUSK JOHN MATTHEW | DIRECTOR | — |
| PLAFKER JED ANDREW | DIRECTOR; DIRECTOR AND JOINT CEO | — |
| STEARNS TIMOTHY STEVEN | CHIEF COMPLIANCE OFFICER | — |
| SMART DAVID EYNON | DIRECTOR; DIRECTOR AND JOINT CEO | — |
| MACINTOSH SARA ANNE | CHIEF LEGAL COUNSEL, COMPANY SECRETARY; COMPANY SECRETARY | — |
| WINNER DALE ALLAN | SENIOR VICE PRESIDENT | — |
| HAMMOND JAMES WILLIAM | CHAIRMAN OF THE BOARD AND CEO; DIRECTOR; DIRECTOR AND JOINT CEO | — |
| BRADY PAUL JOHN | DIRECTOR | — |
| MOBIUS JOSEPH BENHARD | CHIEF INVESTMENT OFFICER-EMERGING MARKETS | — |
| MOESCHTER PETER MANFRED | SVP, PM-RESEARCH ANALYST | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-08-27 | regulatory | ON AUGUST 27, 2018, THE SEC ISSUED AN ORDER THAT FOUND THAT LEGG MASON HAD VIOLATED SECTION 13(B)(2)(B) OF THE SECURITIES EXCHANGE ACT OF 1934 BY FAILING TO DEVISE AND MAINTAIN A SYSTEM OF APPROPRIATE INTERNAL ACCOUNTING CONTROLS WITH RESPECT TO THE USE OF INTRODUCING BROKERS AND OTHER INTERMEDIARIE… | Final | — |
| 2015-02-18 | regulatory | A SHAREHOLDING POSITION IN A NORWEGIAN ISSUER THAT WAS HELD BY A FUND ADVISED BY FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LTD. ("FTIML") FELL BELOW A REPORTABLE THRESHOLD AND WAS ACCORDINGLY DISCLOSED BY FTIML AS A REPORTABLE EVENT TO THE RELEVANT REGULATED MARKET. FINANSTILSYNET SUBSEQUENTLY NOTIFI… | Final | — |