SARASIN ASSET MANAGEMENT LIMITED of LONDON is an SEC-registered investment adviser (CRD 115788). Regulatory assets under management: $555.0M.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles.
Showing 25 of 44 people.
| Name | Role | Location |
|---|---|---|
| Taylor Colin | CHIEF FINANCIAL OFFICER | London, X0 |
| Michael Jamie Gordon Black | CHIEF EXECUTIVE OFFICER | — |
| Vicky Safra | SHAREHOLDER | — |
| David Joseph Safra | SHAREHOLDER | — |
| Jacob Joseph Safra | SHAREHOLDER | — |
| Emily Sarah Lanfear | CHIEF LEGAL OFFICER | — |
| Matthew Christian William Hick | CHIEF RISK OFFICER | — |
| Richard William Jocelyn | CHIEF COMPLIANCE OFFICER | — |
| Philip Alec James Collins | CHIEF INVESTMENT OFFICER | — |
| Timothy James Temple | PARTNER AND CHIEF OPERATING OFFICER | — |
| Robert William Shillinglaw | CHIEF FINANCE OFFICER | — |
| HALL ANDREW JOHN | CHAIRMAN; MANAGING DIRECTOR | — |
| MATTHEWS GUY VINCENT | CHIEF OPERATING OFFICER; FINANCIAL DIRECTOR; FINANCIAL DIRECTOR AND CHIEF COMPLIANCE OFFICER | — |
| GORDON BLACK MICHAEL JAMIE | CHIEF EXECUTIVE OFFICER; EXECUTIVE DIRECTOR | — |
| KRAYER GEORG F | SHAREHOLDER | — |
| SCHWYZER CONRAD P | SHAREHOLDER | — |
| SARASIN BEAT A | SHAREHOLDER | — |
| MERIAN PETER E | SHAREHOLDER | — |
| BAUMANN PHILIP R | SHAREHOLDER | — |
| SARASIN ERIC GERARD | NON EXECUTIVE DIRECTOR/CHAIRMAN; SHAREHOLDER | — |
| HUFSCHMID HANS-RUDOLF | SHAREHOLDER | — |
| VON MEYENBURG FRANZ K | SHAREHOLDER | — |
| MONSON JOHN GUY ELMHIRST | SHAREHOLDER | — |
| SARASIN ANDREAS R | SHAREHOLDER | — |
| WITTENDORFER ROLF | SHAREHOLDER | — |
Showing 10 of 11 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-06-14 | regulatory | REPRIMAND (VERWEIS) BY THE DISCIPLINARY COMMITTEE OF EUREX DEUTSCHLAND - GERMANY AGAINST BANK J. SAFRA SARASIN LTD FOR OMITTING TO PROPERLY REGISTER TRADING ALGORITHMS IN TWO INSTANCES. | Final | — |
| 2021-07-14 | regulatory | REPRIMAND (VERWEIS) BY THE DISCIPLINARY COMMITTEE EUREX DEUTSCHLAND - GERMANY AGAINST BANK J. SAFRA SARASIN LTD FOR FAILING TO CONVERT SHORT CODES INTO LONG CODES IN CERTAIN REPORTINGS. | Final | — |
| 2020-03-12 | regulatory | DURING A MAS INSPECTION ON THE SINGAPORE BRANCH OF BANK J. SAFRA SARASIN LTD CONDUCTED IN 2019, AND AS SET OUT IN MAS INSPECTION REPORT DATED 12 MARCH 2020, MAS IDENTIFIED SEVERAL CONTRAVENTIONS OF MAS NOTICE 626. | Final | $755K |
| 2020-01-15 | regulatory | BY LETTER DATED 15 JANUARY 2020, FINMA NOTIFIED BANK J. SAFRA SARASIN LTD THAT IT HAS DECIDED TO START A PROCEDURE AGAINST THE BANK TO DETERMINE IF THE BANK HAS VIOLATED THE SUPERVISORY LAWS. | Final | — |
| 2018-11-05 | criminal | BANK J. SAFRA SARASIN LTD HAS ALLEGEDLY NOT TAKEN ALL REASONABLE AND NECESSARY ORGANIZATIONAL MEASURES RELATED TO THE PREVENTION OF AGGREGATED MONEY LAUNDERING AND COMPLICITY OF CORRUPTION OF FOREIGN PUBLIC AGENTS IN CONNECTION TO CERTAIN PAYMENTS EXECUTED BY CLIENTS WHO HELD ACCOUNTS WITH THE BANK… | Final | — |
| 2018-11-05 | criminal | BANK J. SAFRA SARASIN LTD HAS ALLEGEDLY NOT TAKEN ALL REASONABLE AND NECESSARY ORGANIZATIONAL MEASURES RELATED TO THE PREVENTION OF AGGREGATED MONEY LAUNDERING AND COMPLICITY OF CORRUPTION OF FOREIGN PUBLIC AGENTS IN CONNECTION TO CERTAIN PAYMENTS EXECUTED BY CLIENTS WHO HELD ACCOUNTS WITH THE BANK… | Pending | — |
| 2017-05-31 | civil | PRIVATE PLAINTIFF CLAIMED THAT IT WAS ILL-ADVISED BY BANK J. SAFRA SARASIN LTD WHEN INVESTING IN AN INVESTMENT FUND. | Final | $1.0M |
| 2016-05-09 | criminal | BANK J. SAFRA SARASIN LTD WAS CHARGED ON 9 MAY 2016 IN THE CONTEXT OF AN ONGOING JUDICIAL INVESTIGATION UNRELATED TO THE BANK WHICH COMMENCED ON 31 MARCH 2009 AND RELATED PREDOMINANTLY TO ALLEGED SEVERAL SCAMS COMMITTED BY THIRD PARTIES IN REAL ESTATE OPERATIONS CARRIED OUT IN SOUTHERN CORSICA, IN W… | On Appeal | — |
| 2016-05-09 | criminal | BANK J. SAFRA SARASIN LTD WAS CHARGED ON 9 MAY 2016 IN THE CONTEXT OF AN ONGOING JUDICIAL INVESTIGATION UNRELATED TO THE BANK WHICH COMMENCED ON 31 MARCH 2009 AND RELATED PREDOMINANTLY TO ALLEGED SEVERAL SCAMS COMMITTED BY THIRD PARTIES IN REAL ESTATE OPERATIONS CARRIED OUT IN SOUTHERN CORSICA, IN W… | Pending | — |
| 2013-03-04 | civil | PRIVATE PLAINTIFF CLAIMED THAT IT WAS ILL-ADVISED BY BANK J. SAFRA SARASIN LTD WHEN INVESTING IN AN INVESTMENT FUND. | Final | $65.1M |