AXA INVESTMENT MANAGERS US INC of NEW YORK, NY is an SEC-registered investment adviser (CRD 113608). Regulatory assets under management: $79.2B.
Compensation: % of AUM, Fixed, Performance, Other.
Clients served: Pooled vehicles, Charities, Investment cos.
Showing 25 of 61 people.
| Name | Role | Location |
|---|---|---|
| Florian Bezault | CO-CHIEF FINANCIAL OFFICER; HEAD OF AXA IM AMERICAS - REGIONAL CFO AMERICAS | Stamford, CT |
| Smith R Lawrence | HEAD OF US TRADING; GLOBAL HEAD OF TRADING & ADMINISTRATIVE OFFICER, EQUITY QI | Overland Park, KS |
| Samuel Sung Han Kim | CHIEF LEGAL OFFICER; CO-CHIEF LEGAL OFFICER | — |
| Michel Henri Decoux | CHIEF COMPLIANCE OFFICER | — |
| Jean-Christophe Menioux | DIRECTOR / CHAIRMAN | — |
| Amanda Raynor | CHIEF OPERATING OFFICER | — |
| Gary Charles Friedman | CO-CHIEF FINANCIAL OFFICER | — |
| Johanna Alexandra Lasker | CO-PRESIDENT | — |
| Ella Dlin Cohen | CO-CHIEF LEGAL OFFICER | — |
| CLARK KEVIN DOUGLAS | ALTERNATE DIRECTOR TO R KYPRIANOU; CHIEF COMPLIANCE OFFICER | — |
| MOREAU NICOLAS | DIRECTOR; DIRECTOR AND CHAIRMAN | — |
| KYPRIANOU ROBERT | DIRECTOR; DIRECTOR AND PRESIDENT | — |
| PATERSON JENNIFER ROSALIND | DIRECTOR | — |
| HEALY DOUGLAS TAYLOR | VICE PRESIDENT | — |
| FEUERHERM FREDERICK PAUL | VICE PRESIDENT | — |
| STRASSER HANNAH HARDERT | VICE PRESIDENT | — |
| DE MICCO DOMENICO NATALINO | CHIEF OPERATING OFFICER | — |
| PRUNET STEPHANE FRANCOIS | DIRECTOR | — |
| BOULLEFORT-FULCONIS NATHALIE | DIRECTOR | — |
| BROWN CHRISTOPHER | CHIEF COMPLIANCE OFFICER | — |
| CARREL-BILLIARD DOMINIQUE | CHAIRMAN AND DIRECTOR | — |
| PAULEY TRAVIS MARTIN | CHIEF COMPLIANCE OFFICER; REGIONAL HEAD OF COMPLIANCE | — |
| LINNEEN FRANK STEVEN | HEAD OF US COMMERCIAL REAL ESTATE DEBT | — |
| CLAMAGIRAND LAURENT CHRISTIAN | DIRECTOR | — |
| FOURGOUX DAVID | CHIEF OPERATING OFFICER; HEAD OF US BUY & MAINTAIN; HEAD OF US IG INSURANCE INVESTMENTS | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-09-13 | regulatory | THE AMF'S ALLEGATIONS AGAINST BNP PARIBAS RELATE TO: 1. INADEQUATE AND MISLEADING CLIENT DISCLOSURES ON FEES - FAILURE TO CLEARLY DISCLOSE COMMISSIONS DE MOUVEMENT. - ABSENCE OF MANDATORY PERFORMANCE-IMPACT ILLUSTRATIONS. - NON-AGGREGATED COST REPORTING, LEADING TO MISUNDERSTANDING OF ACTUAL TOTAL F… | Final | $600K |
| 2023-08-08 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ALLEGED THAT FROM AT LEAST 2014 TO THE PRESENT BNP PARIBAS S.A. AND BNP PARIBAS SECURITIES CORP. FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO THE BUSINESS OF THE FUTURE COMMISSION MERCHANT, IN WILLFUL VIOLATION OF SECTIONS 4S(F)(1… | Final | $75.0M |
| 2022-07-05 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ALLEGED THAT, FROM AT LEAST 2016 THROUGH 2021, BNP PARIBAS ("BNPP") FAILED TO CORRECTLY REPORT NUMEROUS SWAP TRANSACTIONS AS REQUIRED BY THE COMMODITY EXCHANGE ACT ("CEA") AND CEA REGULATIONS, AND THAT FROM 2016 THROUGH 2017, BNPP ADJUSTED DAILY MARK… | Final | $6.0M |
| 2020-04-07 | regulatory | FOLLOWING A REVIEW CARRIED OUT BY THE AMF THAT COMMENCED IN JUNE 2018 ON THE MARKETING OF CERTAIN REAL ESTATE AND COMPLEX DEBT FINANCIAL INSTRUMENTS BY BNP PARIBAS, ACTING AS AN INVESTMENT SERVICES PROVIDER, TO RETAIL BANKING CLIENTS IN 2017, THE AMF POINTED OUT CERTAIN DEFAULTS REGARDING (I) THE RE… | Final | $600K |
| 2018-12-11 | regulatory | THE AMF'S COMMISSION DES SANCTIONS IDENTIFIED FOUR MAIN CATEGORIES OF ALLEGED BREACHES BY BNP PARIBAS SECURITIES SERVICES (BP2S) IN CONNECTION WITH ITS ROLE AS TENEUR DE COMPTE-CONSERVATEUR (TCC) DURING THE 2018 PROXY VOTING SEASON. THESE ISSUES RELATE TO HOW BP2S PROCESSED VOTING INSTRUCTIONS FOR I… | Final | $1.2M |
| 2018-01-25 | criminal | AS CHARGED IN THE INFORMATION, BNPP USA, THROUGH ONE OF ITS TRADERS, AGREED WITH OTHER FOREIGN EXCHANGE DEALERS TO COORDINATE ITS TRADING IN CERTAIN EMERGING MARKETS CURRENCIES. BNPP USA WAIVED INDICTMENT AND AGREED TO BE CHARGED IN A ONE-COUNT CRIMINAL INFORMATION, FILED IN THE DISTRICT COURT, CHAR… | Final | — |
| 2015-12-09 | regulatory | PURSUANT TO A REVIEW THAT HAD COMMENCED IN DECEMBER 2015,THE AMF FOUND CERTAIN DEFAULTS IN THE COMPLIANCE CONTROL SYSTEMS OUT BY BNP PARIBAS' LONDON BRANCH. SPECIFICALLY, THE AMF FOUND THAT SUCH COMPLIANCE CONTROL SYSTEMS DID NOT ENSURE AN ADEQUATE MANAGEMENT OF INSIDE INFORMATION IN THE CONTEXT OF… | Final | $460K |
| 2015-07-27 | regulatory | PURSUANT TO A REVIEW THAT HAD COMMENCED JULY 2015, THE AMF FOUND (I) THAT ON THE 31ST DECEMBER 2014, BNP PARIBAS, ACTING AS AN INVESTMENT SERVICES PROVIDER CARRYING ON RECEPTION AND TRANSMISSION OF ORDERS ON BEHALF OF THIRD PARTY, DID NOT REPORT TO THE AMF SOME ORDERS ON A LISTED SECURITY THAT COULD… | Final | $240K |
| 2015-07-15 | regulatory | THE AMF'S ALLEGATIONS AGAINST BNP PARIBAS ARBITRAGE RELATE TO: 1. FAILURE TO DECLARE SUSPICIOUS TRANSACTIONS 2. DEFICIENT COMPLIANCE ORGANISATION AND DELEGATION ISSUES 3. TECHNICAL FAILURE IN AUTOMATED DETECTION | Final | $60K |
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