NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 116837). Regulatory assets under management: $1.1B.
Compensation: % of AUM.
Clients served: Pooled vehicles.
Showing 25 of 37 people.
| Name | Role | Location |
|---|---|---|
| James Peter | CHIEF COMPLIANCE OFFICER | Sydney, C3 |
| Jarrett Glen Singer | CHIEF FINANCIAL OFFICER | — |
| Christopher Grannis Spitler | CEO & PRESIDENT | — |
| Maria Henrika Vikman | CHAIRPERSON & DIRECTOR | — |
| James Peter O'Connor | CHIEF COMPLIANCE OFFICER | — |
| Linn Maria Edstrom Larsson | DIRECTOR | — |
| NIELSEN HENRIK PRIERGAARD | CHAIRMAN | — |
| GODIKSEN KLAUS MOSE | DIRECTOR; DIRECTOR/PRESIDENT/CEO; SENIOR VICE PRESIDENT | — |
| MATHIESEN LARS | DIRECTOR | — |
| SINGER JARRETT GLEN | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & CHIEF COMPLIANCE OFFICER | — |
| LORGEN EIVIND KJELSRUD | CEO & PRESIDENT; DIRECTOR | — |
| PILGAARD KIM THELLE | CEO & PRESIDENT; CHAIRMAN & DIRECTOR | — |
| BAK HENRIK | CHAIRMAN OF THE BOARD AND PRESIDENT; PRESIDENT | — |
| NYEGAARD PETER | DIRECTOR | — |
| LOFFREDO JOSEPH | CHIEF FINANCIAL OFFICER | — |
| MURPHY GERARD STEPHEN | DIRECTOR | — |
| PEDERSEN FINN BENNY | DIRECTOR | — |
| JACOBSEN OLE ALTHOF | DIRECTOR | — |
| STUTTAFORD ANDREW IRVING | GENERAL SECURITIES PRINCIPAL | — |
| O'CONNOR JAMES PETER | CHIEF COMPLIANCE OFFICER | — |
| ERAKALLIO CARLO TAPIO | CHAIRMAN & DIRECTOR | — |
| PEDERSEN LEON SVEJGAARD | DIRECTOR | — |
| MODIGH ULRIK | CEO & PRESIDENT; CHARIMAN & DIRECTOR; DIRECTOR | — |
| VON KNORRING HENRIK MIKAEL | DIRECTOR | — |
| HJORTH-LARSEN BRITTA | DIRECTOR | — |
Showing 10 of 14 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-18 | regulatory | NORDEA BANK ABP RECEIVED A SANCTIONING DECISION BY THE EUROPEAN CENTRAL BANK CONCERNING NON-COMPLIANCE WITH STATISTICAL REPORTING REQUIREMENTS. ACCORDING TO THE DECISION NORDEA MUST PAY A FINE OF EUR 58,333.33 AS IT HAS IN SOME INSTANCES BREACHED THE STATISTICAL REPORTING OBLIGATIONS UNDER ARTICLE 3… | Final | $69K |
| 2024-09-01 | regulatory | THE DANISH COMPETITION AND CONSUMER AUTHORITY (DCCA) HAVE CONCLUDED THAT NORDEA (AND 13 OTHER BANKS) HAS ISSUED PAYMENT CARDS TO BUSINESS CUSTOMERS THAT CANNOT BE ELECTRONICALLY IDENTIFIED AS CORPORATE CARDS, IN VIOLATION OF ARTICLE 10(5) OF THE INTERCHANGE FEE REGULATION. THE DCCA HAS SET THE DEADL… | Final | — |
| 2024-08-27 | regulatory | NORDEA FAILED TO MAINTAIN AN EFFECTIVE AND COMPLIANT ANTI-MONEY LAUNDERING PROGRAM, IN VIOLATION OF 3 N.Y.C.R.R. ? 116.2. NORDEA FAILED TO CONDUCT ADEQUATE DUE DILIGENCE IN ITS CORRESPONDENT BANK AND RMA RELATIONSHIPS IN VIOLATION OF 3 N.Y.C.R.R. ? 116.2. NORDEA FAILED TO MAINTAIN AN ADEQUATE TRANSA… | Final | $35.0M |
| 2024-08-27 | regulatory | NORDEA FAILED TO MAINTAIN AN EFFECTIVE AND COMPLIANT ANTI-MONEY LAUNDERING PROGRAM, IN VIOLATION OF 3 N.Y.C.R.R. § 116.2. NORDEA FAILED TO CONDUCT ADEQUATE DUE DILIGENCE IN ITS CORRESPONDENT BANK AND RMA RELATIONSHIPS IN VIOLATION OF 3 N.Y.C.R.R. § 116.2. NORDEA FAILED TO MAINTAIN AN ADEQUATE TRANSA… | Final | $35.0M |
| 2024-07-05 | criminal | NORDEA IS ACCUSED OF NOT HAVING HAD ADEQUATE ANTI-MONEY LAUNDERING CONTROLS IN THE PERIOD DATING BACK TO 2015 AND EARLIER. FOLLOWING INVESTIGATIONS CONDUCTED BY THE AUTHORITIES INTO ANTI-MONEY LAUNDERING CONTROLS IN THE PERIOD DATING BACK TO 2015 AND EARLIER, THE DANISH STATE PROSECUTOR FOR SPECIAL… | Pending | — |
| 2024-02-02 | regulatory | THE SWISS FEDERAL DEPARTMENT OF FINANCE ('SDFD') CLAIMED THAT NORDEA INVESTMENT FUNDS S.A. ('NIFSA')(ON BEHALF OF "NORDEA 1 SICAV - EUROPEAN VALUE FUND" TODAY NAMED "NORDEA 1 SICAV - EUROPEAN STARS EQUITY FUND") HAS MADE SIX INSTANCES OF INCOMPLETE FLAGGING NOTIFICATIONS DURING THE FALL 2018 AND WIN… | Final | $16K |
| 2021-12-07 | regulatory | ON THE 21 FEBRUARY 2022 EUREX DEUTSCHLAND ISSUED A REPRIMAND TO NORDEA BANK ABP DUE TO THE LATE CONFIRMATION OF A TOTAL OF FOUR T7 ENTRY SERVICE TRANSACTIONS WHEREBY THE DEADLINE OF CONFIRMING WITHIN 15 MINUTES WAS EXCEEDED. THIS WAS A VIOLATION AGAINST CLAUSE 4.4. PARA. 2 OF THE TRADING CONDITIONS. | Final | $1K |
| 2020-08-18 | regulatory | FINANSTILSYNET ALLEGES THAT RESULTING FROM AN INSPECTION ON TRANSACTION MONITORING THERE WERE A NUMBER OF FINDINGS WHICH GAVE RISE TO SUPERVISORY RESPONSES. THESE RELATED TO COVERAGE OF TRANSACTIONS, SUFFICIENT MONITORING OF SPECIFIC BUSINESS AREAS, SCENARIOS AROUND CUSTOMER BEHAVIOR, BUSINESS PROCE… | Final | — |
| 2020-04-06 | regulatory | NFSA PUBLISHED THE FINAL REPORT FROM THE 2020 ON-SITE INSPECTION ON AML AND CTF WHERE THEY IDENTIFIED DEFICIENCIES RELATED TO ROUTINES/PROCEDURES, ENHANCED DUE DILIGENCE MEASURES AND TRADE FINANCE. | Final | — |
| 2015-12-01 | regulatory | THE FIN-FSA HAS IMPOSED THE FOLLOWING ADMINISTRATIVE SANCTIONS ON NORDEA BANK AB (PUBL), FINNISH BRANCH: A PENALTY PAYMENT OF EUR 1,000,000 AND A PUBLIC WARNING. FIN-FSA CONDUCTED AN INSPECTION AT NORDEA BANK FINLAND PLC IN 2015-2016 REGARDING THE OBLIGATION TO OBTAIN INFORMATION IN CONNECTION WITH… | Final | $1.1M |