UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTD of LONDON (ENGLAND) is an SEC-registered investment adviser (CRD 113463). Regulatory assets under management: $11.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 75 people.
| Name | Role | Location |
|---|---|---|
| Smith Lamont Charles | DIRECTOR, MANAGING DIRECTOR, GLOBAL HEAD OF FUNDS & ALTERNATIVE SOLUTIONS | DENVER, CO |
| Walsh Michael | FINANCE OFFICER | Richardson, TX |
| Taylor Colin | BOARD DIRECTOR AND CHAIRMAN | London, X0 |
| Brian Sheahan | CHIEF COMPLIANCE OFFICER | Santa Rosa, CA |
| Ian Michael Hale | NON EXECUTIVE DIRECTOR | — |
| Andrew Hyatt Marshak | DIRECTOR | — |
| Keith Martin Jecks | DIRECTOR | — |
| Malcolm Edwards | DIRECTOR | — |
| Daniel Beadel | DIRECTOR | — |
| Paul Edward Hare | COMPANY SECRETARY | — |
| Marc Berryman | CHIEF OPERATING OFFICER & DIRECTOR | — |
| Justin Gillott | EXECUTIVE DIRECTOR | — |
| Amy Louise Veitch | INTERIM CHIEF COMPLIANCE OFFICER | — |
| PRAVEEN JOHN | MANAGING DIRECTOR | — |
| MURPHY BRIAN JOSEPH | DIRECTOR | — |
| COLLINS DAVID MAXWELL | CHIEF COMPLIANCE OFFICER AND DIRECTOR; DIRECTOR, LEGAL & COMPLIANCE; HEAD OF LEGAL, CHIEF COMPLIANCE OFFICER AND DIRECTOR | — |
| RASGOTRA DILIP KRISHNA | MANAGING DIRECTOR | — |
| HEER HARJEET | MANAGING DIRECTOR | — |
| GREGSON NEIL DEAN | MANAGING DIRECTOR | — |
| NEWSON GLENN MARTIN | DIRECTOR | — |
| BURGESS MARK DAVID | CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR; MANAGING DIRECTOR | — |
| COLLINS BARBARA JANE | MANAGING DIRECTOR | — |
| PARKER ROBERT JOHN | DEPUTY CHAIRMAN; DEPUTY CHAIRMAN & MANAGING DIRECTOR | — |
| CURRINGTON JEFFREY DAVID | MANAGING DIRECTOR | — |
| TICKLE MARK SIMON | FINANCE OFFICER | — |
Showing 10 of 58 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-09-04 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS OR CONCLUSIONS THEREIN, UBS AG, UBS FINANCIAL SERVICES, INC., AND UBS SECURITIES LLC (COLLECTIVELY, "UBS") CONSENTED TO THE ENTRY OF A CFTC ORDER MAKING FINDINGS THAT, AT CERTAIN TIMES FROM AT LEAST 2015 UNTIL 2024, UBS FAILED TO DILIGENTLY SUPERVISE MATTERS… | Final | $5.0M |
| 2025-05-05 | criminal | FROM JANUARY 2010 THROUGH AT LEAST IN OR ABOUT JULY 2021, CREDIT SUISSE AG CONSPIRED TOWILLFULLY AID U.S. CUSTOMERS IN CONCEALING THEIR OWNERSHIP AND CONTROL OF ASSETS AND FUNDSHELD AT THE BANK, ENABLING THOSE U.S. CUSTOMERS TO EVADE THEIR U.S. TAX OBLIGATIONS. FROM ATLEAST 2014 THROUGH AT LEAST IN… | Final | — |
| 2025-02-18 | regulatory | THE KOREA FINANCIAL SUPERVISORY SERVICE (FSS) UNDERTOOK AN INDUSTRY-WIDE REVIEW OF SHORTSALE ACTIVITIES OF GLOBAL INVESTMENT BANKS STARTING FROM 2023 FOR A PERIOD OF 14 MONTHS. UBSWAS ONE OF THE 14 GLOBAL INVESTMENT BANKS INVOLVED. THE SCOPE OF THE REVIEW WASRETROSPECTIVE IN NATURE PRIMARILY COVERIN… | Final | $2.5M |
| 2025-01-14 | regulatory | THE CMB ALLEGED THAT CERTAIN TRADES SUBMITTED BY UBS ON 15 SEPTEMBER 2020 CONSITUTED AS MARKET ABUSE UNDER TURKISH LAW (SUBPARAGRAPHS (A) AND (F) OF THE FIRST PARAGRAPH OF ARTICLE 5 OF THE COMMINQUE ON MARKET ABUSE NO VI-104.1) AND SUBJECT TO ADMINSTRATIVE FINES. | Final | $33K |
| 2025-01-14 | regulatory | THE CMB ALLEGED THAT CERTAIN CLIENT TRADES SUBMITTED BY UBS ON SEPTEMBER 15, 2020 CONSTITUTED AS MARKET ABUSE UNDER TURKISH LAW (SUBPARAGRAPHS (A) AND (F) OF THE FIRST PARAGRAPH OF ARTICLE 5 OF THE COMMUNIQUE ON MARKET ABUSE NO. VI-104.1) AND SUBJECT TO ADMINISTRATIVE FINES | Final | $33K |
| 2023-12-13 | regulatory | "THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ENTERED AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS (THE "SEC ORDER") AGAINST CREDIT SUISSE ASSET MANAGEMENT, LLC ("CSAM") AND CERTAIN OF ITS AFFILIATES IN CONNECTION WITH CSAM CONTINUING TO SERVE AS INVESTMENT ADVISER TO REGIS… | Final | $10.1M |
| 2023-08-01 | regulatory | MAS FOUND SHORTCOMINGS IN THE AREAS OF: (A) CUSTOMER RISK ASSESSMENT. FIVE OF THE FIS (BJBS, BOIPL, CITI, CSSB, UOBKH) FAILED TO IMPLEMENT ADEQUATE POLICIES OR PROCESSES FOR THE RATING OF ML RISKS PRESENTED BY SOME OF THEIR CUSTOMERS. THIS LED TO MIS-RATING OF ML RISKS AND AFFECTED THEIR ABILITY TO… | Final | $6.8M |
| 2023-07-24 | regulatory | ON OR ABOUT JULY 24, 2023, THE SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY (FINMA) CONCLUDED PROCEEDINGS AGAINST CREDIT SUISSE, FINDING THAT CREDIT SUISSE HAS SERIOUSLY AND SYSTEMATICALLY VIOLATED FINANCIAL MARKET LAW IN ITS RELATIONSHIP WITH THE ARCHEGOS FAMILY OFFICE TO TO VARIOUS ORGANIZATIONAL… | Final | — |
| 2023-07-24 | regulatory | "ON OR ABOUT JULY 24, 2023, THE SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY (FINMA) CONCLUDED PROCEEDINGS AGAINST CREDIT SUISSE, FINDING THAT CREDIT SUISSE HAS SERIOUSLY AND SYSTEMATICALLY VIOLATED FINANCIAL MARKET LAW IN ITS RELATIONSHIP WITH THE ARCHEGOS FAMILY OFFICE DUE TO VARIOUS ORGANIZATIONA… | Final | $268.5M |
| 2023-07-21 | regulatory | THE FRB CONSENT ORDER, ARISING FROM RISK MANAGEMENT FAILINGS ASSOCIATED WITH THE MARCH 2021 DEFAULT OF ARCHEGOAS CAPITALMANAGEMENT LP, ALLEGES VIOLATIONS UNDER SECTION 8(I)(2) OF THE FEDERAL DEPOSIT INSURANCE ACT, AS WELL AS SECTIONS 252.155-157 OF REGULATION YY OF THE BOARD OF GOVERNORS; THE ALLEGA… | Final | $268.5M |