WALTER SCOTT & PARTNERS LIMITED of EDINBURGH is an SEC-registered investment adviser (CRD 112161). Regulatory assets under management: $66.7B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 41 people.
| Name | Role | Location |
|---|---|---|
| Alan B McFarlane | DIRECTOR | St. Peter Port, Y7 |
| Jane Elisabeth Henderson | MANAGING DIRECTOR | — |
| Roy Mcgregor Leckie | DIRECTOR; EXECUTIVE DIRECTOR - INVESTMENT AND CLIENT SERVICE | — |
| Anna Louise Nicholl | CHIEF COMPLIANCE OFFICER | — |
| Stephen Niles Potter | DIRECTOR; NON-EXECUTIVE DIRECTOR | — |
| Richard William Watt | DIRECTOR; NON-EXECUTIVE DIRECTOR | — |
| John Paul O'Meara | DIRECTOR; NON-EXECUTIVE DIRECTOR | — |
| Thomas Sneddon | EXECUTIVE DIRECTOR - GOVERNANCE AND OPERATIONS | — |
| Barbara Lindsay Scott | COMPANY SECRETARY | — |
| Jane Frances Ivinson | DIRECTOR; NON-EXECUTIVE DIRECTOR | — |
| Robert Alexander Hammond-Chambers | DIRECTOR | — |
| Charles Edward Macquaker | DIRECTOR | — |
| Alan Nmn Mcfarlane | DIRECTOR | — |
| LITTLE JONATHAN MICHAEL | DIRECTOR | — |
| HARRIS MITCHELL EVAN | DIRECTOR | — |
| O'HANLEY RONALD PHILIP | DIRECTOR | — |
| CLARK PATRICK JOHN | DIRECTOR; NON-EXECUTIVE DIRECTOR | — |
| WOOD NICHOLAS JOHN | COMPANY SECRETARY | — |
| SCOTT WALTER GRANT | CHAIRMAN; CHAIRMAN & MANAGING DIRECTOR | — |
| HARRISON MARILYN RUTH | DIRECTOR | — |
| LYALL KENNETH JOHN | CHAIRMAN; DIRECTOR | — |
| SMITH JAMES DOWNIE | DIRECTOR | — |
| WHITE PAMELA JUNE | DIRECTOR | — |
| LYON-DEAN ALISTAIR | COMPANY SECRETARY & CHIEF COMPLIANCE OFFICER; COMPANY SECRETARY & COMPLIANCE OFFICER; DIRECTOR (+2 more) | — |
| MCFARLANE ALAN | DIRECTOR; MANAGING 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 | — |