NORTHERN TRUST GLOBAL INVESTMENTS LTD of LONDON is an SEC-registered investment adviser (CRD 111900). Regulatory assets under management: $208.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 47 people.
| Name | Role | Location |
|---|---|---|
| Bimal Shah | DIRECTOR | Chicago, IL |
| Frances Emelia Mary Mcilrath | CHIEF COMPLIANCE OFFICER | — |
| James David Rippey | DIRECTOR | — |
| Richard Edward Bartholomew | CHIEF EXECUTIVE OFFICER AND DIRECTOR; DIRECTOR | — |
| Adam Charles Searle Hallsworth | CHIEF FINANCIAL OFFICER | — |
| Anna Christina Hull | DIRECTOR | — |
| MCCAREINS JOHN MARTIN | CHIEF EXECUTIVE OFFICER | — |
| HUFFMAN WILLIAM T | CEO | — |
| DUDLEY ORIE LESLIE | DIRECTOR | — |
| POTTER STEPHEN N | CHAIRMAN; CHAIRMAN, CEO; DIRECTOR (+1 more) | — |
| STEWART SAMUEL STEPHEN | CHIEF COMPLIANCE OFFICER | — |
| ROCHFORD KEVIN JOSEPH | DIRECTOR; MANAGING DIRECTOR, CEO, DIRECTOR | — |
| RING NICHOLAS J | DIRECTOR, COO; MANAGING-DIRECTOR | — |
| GOSSETT MARK CARLTON | DIRECTOR; DIRECTOR, CFO | — |
| SAGRAVES BARRY ROBERT | CEO | — |
| FRANKLIN NEAL | CHIEF COMPLIANCE OFFICER | — |
| LEACH WILSON | DIRECTOR | — |
| KARPINSKI JANE BRONWYN | FINANCIAL CONTROLLER | — |
| MACLENNAN DOUGLAS | FINANCIAL CONTROLLER; FINANCIAL DIRECTOR; FINANCIAL OFFICER | — |
| HAUSKEN PHILIP DALE | CHIEF COMPLIANCE OFFICER | — |
| BOWMAN STEPHEN | DIRECTOR | — |
| BLOWERS DAVID CHARLES | DIRECTOR | — |
| OSINDERO YINKA | DIRECTOR AND COMPLIANCE DIRECTOR | — |
| BARTHOLOMEW RICHARD EDWARD | DIRECTOR | — |
| MUBARAK SHARIFFA SHAKILA SYED | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-04-02 | regulatory | WITHOUT ADMITTING OR DENYING ANY VIOLATION OF THE RELEVANT SHORT SALE RESTRICTIONS PROVISIONS OF THE KOREAN FINANCIAL INVESTMENT SERVICES AND CAPITAL MARKETS ACT, THE NORTHERN TRUST COMPANY OF HONG KONG LIMITED ("TNTCHK") WAS ISSUED WITH A PENALTY OF KRW 141,700,000 (APPROXIMATELY USD 100,000) ON OC… | Final | $100K |
| 2022-12-01 | regulatory | THE AUSTRALIAN SECURITIES & INVESTMENTS COMMISSION ALLEGED THAT CERTAIN DISCLOSURES INCLUDED IN PRODUCT DISCLOSURE STATEMENTS FOR THE NT WORLD GREEN INDEX FUND (THE "FUND") CONTAINED STATEMENTS THAT COULD MISLEAD THE PUBLIC AS TO THE NATURE OR CHARACTERISTICS OF THE FUND. | Final | $20K |
| 2019-09-30 | regulatory | THE NORTHERN TRUST COMPANY ("NORTHERN TRUST"), ACTING IN ITS CAPACITY AS A SWAP DEALER, WAS ORDERED TO PAY A $999,000 FINE BYTHE NATIONAL FUTURES ASSOCIATION ("NFA"). THE DECISION BY THE NFA'S BUSINESS CONDUCT COMMITTEE ("BCC") WAS BASED ON ACOMPLAINT AND A SETTLEMENT OFFER SUBMITTED BY NORTHERN TRU… | Final | $999K |
| 2019-09-30 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS OR CONCLUSIONS OF THE COMMODITY FUTURES TRADING COMMISSION ("CFTC"), THE NORTHERN TRUST COMPANY ("TNTC") CONSENTED TO ENTRY OF AN ORDER ISSUED ON SEPTEMBER 30, 2019 FINDING THAT FROM 2013 THROUGH AT LEAST 2018 TNTC FAILED TO REPORT CERTAIN SWAPS TO A SWAP DA… | Final | $1.0M |
| 2015-06-18 | regulatory | ON JUNE 18, 2015, THE SECURITIES AND EXCHANGE COMMISSION (SEC) BROUGHT ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS AGAINST 36 MUNICIPAL SECURITIES DEALERS, INCLUDING THE NORTHERN TRUST COMPANY (NORTHERN TRUST), IN WHICH THE SEC ALLEGED THAT THE MUNICIPAL SECURITIES DEALERS CONDUCTED INADEQUATE D… | Final | $60K |
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