KBI GLOBAL INVESTORS (NORTH AMERICA) LTD of DUBLIN 1 is an SEC-registered investment adviser (CRD 113606). Regulatory assets under management: $1.7B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| John Geoffrey Blake | DIRECTOR, CEO | Dublin, L2 |
| Eve Finn | NON EXECUTIVE DIRECTOR | Dublin, L2 |
| Derval Murray | CHIEF COMPLIANCE OFFICER | Dublin, L2 |
| Gerard Dudley Solan | CFO & COO | — |
| AYLWARD GEORGE R | NON EXECUTIVE DIRECTOR | — |
| MURRAY DERVAL | CHIEF COMPLIANCE OFFICER | — |
| HAWKSHAW MICHAEL SEAN | CHIEF EXECUTIVE OFFICER AND DIRECTOR; CHIEF FINANCIAL OFFICER AND DIRECTOR; DIRECTOR & CEO | — |
| DUCHATEAU STEFAN | DIRECTOR | — |
| O'HALLORAN NOEL | CIO; DIRECTOR; DIRECTOR & CIO | — |
| DEBOECK EDWIN | DIRECTOR | — |
| SCHOETERS ERWIN | DIRECTOR | — |
| CLOSE FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND DIRECTOR; DIRECTOR | — |
| COTTER WILLIAM RAYMOND | NON EXECUTIVE DIRECTOR | — |
| SOLAN GERARD DUDLEY | CFO & COO; DIRECTOR; DIRECTOR CFO & COO | — |
| BLAKE JOHN GEOFFREY | DIRECTOR | — |
| ALLEGAERT WIM | DIRECTOR | — |
| CALDWELL GAVIN RUTLEDGE | CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| LINZ HEINRICH KARL | NON EXECUTIVE DIRECTOR | — |
| KAMENETZKY-WETZEL ANNA MAGDALENA | NON EXECUTIVE DIRECTOR | — |
| SCHMID-KUHNHOFER RUDIGER | NON EXECUTIVE DIRECTOR | — |
| Simon Padley | EXECUTIVE DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-06-12 | regulatory | FOLLOWING AN INVESTIGATION CONDUCTED FROM 2017 TO 2019, THE FRENCH FINANCIAL MARKETS AUTHORITY (AUTORITE DES MARCHES FINANCIERS [AMF]) NOTIFIED AMUNDI OF GRIEVANCES ON JUNE 12, 2020. THE GRIEVANCES RELATE TO CERTAIN TRANSACTIONS CARRIED OUT BETWEEN 2014 AND 2015 BY TWO FORMER NON-US EMPLOYEES OF AMU… | Final | $37.9M |
| 2020-06-12 | regulatory | FOLLOWING AN INVESTIGATION CONDUCTED FROM 2017 TO 2019, THE FRENCH FINANCIAL MARKETS AUTHORITY (AUTORITÉ DES MARCHÉS FINANCIERS [AMF]) NOTIFIED AMUNDI OF GRIEVANCES ON JUNE 12, 2020. THE GRIEVANCES RELATE TO CERTAIN TRANSACTIONS CARRIED OUT BETWEEN 2014 AND 2015 BY TWO FORMER NON-US EMPLOYEES OF AMU… | Final | $37.9M |
| 2019-05-07 | regulatory | GRIEVANCES RELATING TO THE PUBLICATION ON THE AMUNDI WEBSITE FOR BELGIAN INVESTORS OF A COMMERCIAL DOCUMENTATION WHICH, IN ITS DUTCH VERSION, MENTIONED AN ANNUAL PERFORMANCE TARGET OF 7% WHILE, DURING THE APPROVAL PROCESS BASED ON A FRENCH WRITTEN TEMPLATE OF THE COMMERCIAL DOCUMENTATION, THE BELGIA… | Final | $60K |
| 2018-12-20 | regulatory | THE EUROPEAN COMMISSION ANNOUNCED ON DECEMBER 20, 2018 THAT IT REACHED A PRELIMINARY VIEW THAT CERTAIN BANKS HAVE BREACHED EU ANTITRUST RULES. THE ALLEGATIONS RELATE TO THE TRADING OF USD-DENOMINATED SOVEREIGN, SUPRA-SOVEREIGN, AND AGENCY ("SSA") BONDS ON THE SECONDARY MARKET BETWEEN JANUARY 2013 AN… | On Appeal | $4.8M |
| 2018-07-16 | regulatory | THIS PENALTY WAS IMPOSED FOR BREACH OF THE PROCEDURE LAID DOWN IN ARTICLE 26(3) OF REGULATION (EU) NO 575/2013 OF THE EUROPEAN PARLIAMENT BY CLASSIFYING CAPITAL INSTRUMENTS AS COMMON EQUITY TIER 1 INSTRUMENTS DURING THREE (FIVE FOR CASA) CONSECUTIVE QUARTERLY REPORTING PERIODS AND TWO (THREE FOR CAS… | Final | $4.6M |
| 2015-10-19 | regulatory | CRÉDIT AGRICOLE SA (CASA) AND ITS SUBSIDIARY CRÉDIT AGRICOLE CORPORATE AND INVESTMENT BANK (CACIB) HAVE REACHED AGREEMENTS WITH THE U.S. AND NEW YORK AUTHORITIES THAT HAVE BEEN CONDUCTING INVESTIGATIONS REGARDING U.S. DOLLAR TRANSACTIONS BETWEEN 2003 AND 2008 SUBJECT TO U.S. ECONOMIC SANCTIONS AND C… | Final | $787.3M |
| 2015-10-19 | regulatory | CREDIT AGRICOLE SA (CASA) AND ITS SUBSIDIARY CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK (CACIB) HAVE REACHED AGREEMENTS WITH THE U.S. AND NEW YORK AUTHORITIES THAT HAVE BEEN CONDUCTING INVESTIGATIONS REGARDING U.S. DOLLAR TRANSACTIONS BETWEEN 2003 AND 2008 SUBJECT TO U.S. ECONOMIC SANCTIONS AND C… | Final | $787.3M |
| 2014-05-19 | regulatory | ON DECEMBER 7, 2016, THE EUROPEAN COMMISSION (THE "COMMISSION") ANNOUNCED THAT IT FINED CREDIT AGRICOLE S.A. ("CASA") AND CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK ("THE BANK"), HSBC, AND JPMORGAN CHASE FOR ANTICOMPETITIVE PRACTICES CONCERNING BENCHMARK INTEREST RATES. THE COMMISSION CLAIMS THAT… | On Appeal | $120.6M |