JPMORGAN ASSET MANAGEMENT (UK) LIMITED of LONDON is an SEC-registered investment adviser (CRD 135960). Regulatory assets under management: $484.1B.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos.
Showing 25 of 57 people.
| Name | Role | Location |
|---|---|---|
| Taylor Andrew | CO-CHIEF ADMINISTRATION OFFICER | Eatontown, NJ |
| Christopher Hill | INDEPENDENT NON-EXECUTIVE DIRECTOR | VANCOUVER, A1 |
| Jeroen Fastenaekels | CHIEF LEGAL OFFICER | — |
| Joni Ruokonen | CHIEF FINANCIAL OFFICER; EXECUTIVE DIRECTOR/ CHIEF FINANCIAL OFFICER | — |
| Patrick Macdonald Thomson | DIRECTOR/CHIEF EXECUTIVE OFFICER | — |
| Stephen Edward Pond | DIRECTOR; DIRECTOR / CHIEF FINANCIAL OFFICER | — |
| Richard Stuart-Reckling | CHIEF COMPLIANCE OFFICER | — |
| Sarah Heffron Nichomoff | NON-EXECUTIVE DIRECTOR | — |
| Deborah Reidy | INDEPENDENT NON-EXECUTIVE DIRECTOR | — |
| Katy Thorneycroft | EXECUTIVE DIRECTOR | — |
| Karen Ward | EXECUTIVE DIRECTOR | — |
| Arthur Mark Ruston Smith | INDEPENDENT NON-EXECUTIVE DIRECTOR/CHAIRMAN | — |
| Dana Michelle Haimoff | DIRECTOR | — |
| STALEY JAMES EDWARD | DIRECTOR | — |
| PORTER MARTIN ROY | CIO/GLOBAL HEAD OF EQUITIES/DIRECTOR; DIRECTOR/MANAGING DIRECTOR/CIO-GLOBAL HEAD OF EQUITIES | — |
| BROWN CLIVE STUART | DIRECTOR | — |
| FORERO PABLO | CIO - INTERNATIONAL EQUITIES/MANAGING DIRECTOR/HEAD OF GLOBAL MULTI-ASSET GROUP | — |
| TEDDER CATHERINE JANE | CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR; CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | — |
| OSWALD RICHARD WILLIAM | DIRECTOR/MANAGING DIRECTOR | — |
| THOMPSON ROGER MARTIN JAMES | DIRECTOR | — |
| BRODERICK JAMES BALDRIDGE | DIRECTOR/CHIEF EXECUTIVE OFFICER | — |
| FLEMING CAMPBELL | DIRECTOR | — |
| KHAZANEH LEILA | HEAD OF LEGAL/MANAGING DIRECTOR | — |
| ROBERTS ANTHONY MARK LESLIE | HEAD OF LEGAL/MANAGING DIRECTOR | — |
| O'BRIEN TIMOTHY WILLIAM JOHN | CHIEF EXECUTIVE OFFICER/DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-07-22 | regulatory | NEGLIGENT BREACH OF SUPERVISORY AND ORGANIZATIONAL DUTIES IN CONNECTION WITH INFRINGEMENTS OF SECTION 21 OF THE GERMAN SECURITIES TRADING ACT. | Final | $1.8M |
| 2020-09-29 | regulatory | THE CFTC ENTERED AN ORDER RESOLVING AN ACTION AGAINST JPMORGAN CHASE & CO., AN AFFILIATED BANK (THE "BANK") AND AN AFFILIATED BROKER-DEALER (THE "BROKER-DEALER") (COLLECTIVELY, "JPM"). ACCORDING TO THE ORDER, FROM AT LEAST 2008 THROUGH 2016, NUMEROUS TRADERS ON THE PRECIOUS METALS AND U.S. TREASURIE… | Final | $436.4M |
| 2020-09-29 | criminal | — | Final | — |
| 2017-01-03 | regulatory | THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. | Final | $98K |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") UNDER WHICH JPMC CONSENTED TO THE ENTRY OF AN ORDER (THE "ORDER") THAT FINDS THAT JPMC VIOLATED SECTIONS 13(B)(2)(A), 13(B)(2)(B) AND 30A OF THE SECURITIES EXCHANGE ACT O… | Final | — |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") RESULTING IN THE FRB ISSUING AN ORDER ("ORDER"). THE ORDER FINDS THAT FROM AT LEAST 2008 THROUGH 2013, JPMC'S ASIA-PACIFIC REGION INVESTMENT BANKING GROUP O… | Final | $61.9M |
| 2015-05-20 | criminal | ON MAY 20, 2015, THE DOJ FILED A CRIMINAL INFORMATION IN THE DISTRICT COURT CHARGING JPMC WITH A ONE COUNT CRIME CHARGE IN VIOLATION OF THE SHERMAN ANTITRUST ACT, 15 U.S.C. ? 1 (THE "INFORMATION"). THE INFORMATION CHARGES THAT, FROM JULY 2010 UNTIL AT LEAST JANUARY 2013, JPMC, THROUGH ONE OF ITS EUR… | Final | — |
| 2015-05-20 | regulatory | ON MAY 20, 2015, THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") ISSUED AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY AGAINST JPMORGAN CHASE & CO. ("JPMC") RELATING TO ITS FOREIGN EXCHANGE ("FX") ACTIVITIES ("ORDER") FROM 2008 THROUGH 2013. THE ORDER STAT… | Final | $342.0M |
| 2014-06-17 | regulatory | THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. | Final | $101K |