DWS ALTERNATIVES GLOBAL LIMITED of LONDON is an SEC-registered investment adviser (CRD 139526). Regulatory assets under management: $24.5B.
Compensation: % of AUM, Performance, Other.
Clients served: Pooled vehicles, Charities, Investment cos.
Showing 25 of 39 people.
| Name | Role | Location |
|---|---|---|
| Andrew Levy | HEAD OF FINANCE / UK; HEAD OF FINANCE/UK, DIRECTOR | Athens, GA |
| Ross Gordon | DIRECTOR | Chicago, IL |
| Hamish Macphail Massie Mackenzie | CEO AND DIRECTOR | — |
| Robert Bruce Botting | HEAD OF LEGAL / UK | — |
| Sarah-Jayne Rose | HEAD OF AFC & COMPLIANCE UK; HEAD OF AFC & COMPLIANCE UK / CHIEF COMPLIANCE OFFICER | — |
| Simon Carl Wallace | DIRECTOR | — |
| Barry Robert Mcconnell | DIRECTOR | — |
| John Graham Mead Webster | DIRECTOR | — |
| Sheridan Maxwell Taggart | DIRECTOR | — |
| Richard Daniel Robinson | DIRECTOR | — |
| Stephen James Thomas Shaw | DIRECTOR | — |
| JONES JON DAVID | CFO | — |
| BOLTON MARK WILLIAM | DIRECTOR | — |
| HAYTER GARETH | CHIEF FINANCIAL OFFICER | — |
| BRUSH DAVID MICHAEL | EUROPEAN HEAD OF BUSINESS; EUROPEAN HEAD OF BUSINESS & CHIEF EXECUTIVE OFFICER | — |
| HUGHES BILL | CEO | — |
| SHAW STEPHEN JAMES THOMAS | COO; DIRECTOR | — |
| SWANSON ISOBEL ANN | CCO | — |
| LIGHTBOURNE JAMES RICHARD | CLO | — |
| DOWDING MARK CHARLES | MANAGING DIRECTOR | — |
| CHERKI PIERRE | CO-CHIEF EXECUTIVE OFFICER/BOARD MEMBER | — |
| LEVY BRIAN ANDREW | HEAD OF FINANCE / UK | — |
| ENTWISTLE DAVID | CHIEF LEGAL OFFICER | — |
| PAPACHRISTOPHOROU CHRIS | CO-CHIEF EXECUTIVE OFFICER/BOARD MEMBER | — |
| CALVERT JAMES | CHIEF FINANCIAL OFFICER | — |
Showing 10 of 92 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-04-30 | regulatory | ON APRIL 30, 2026, DEUTSCHE BANK AG, LONDON BRANCH ("DBAG") ENTERED INTO A SETTLEMENT WITH THE UNITED KINGDOM'S OFFICE OF FINANCIAL SANCTIONS IMPLEMENTATION ("OFSI") IN WHICH OFSI FOUND THAT DBAG VIOLATED REGULATION 12 OF THE RUSSIA (SANCTIONS) (EU EXIT) REGULATIONS 2019 FOR PROCESSING TWO PAYMENT T… | Final | $224K |
| 2026-03-12 | regulatory | ON MARCH 12, 2026, THE SAUDI CENTRAL BANK ("SAMA") FOUND THAT DEUTSCHE BANK AG, RIYADH BRANCH ("DBAG") VIOLATED ARTICLE 17 OF THE SAUDI BANKING CONTROL LAW FOR DEPOSIT REPORTING DISCREPANCIES IN DBAG'S SEPTEMBER 2025 AND OCTOBER 2025 REPORTS TO SAMA. | Final | $1K |
| 2025-06-09 | regulatory | THE SECURITIES AND FUTURES COMMISSION OF HONG KONG (THE "SFC") COMMENCED INVESTIGATIONS INTO DEUTSCHE BANK AG, HONG KONG BRANCH ("DBHK") FOLLOWING SELF-REPORTS MADE BY DBHK REGARDING SELF-IDENTIFIED INCIDENTS, WHICH THE SFC FOUND VIOLATED GENERAL PRINCIPLES 2 (DILIGENCE), 7 (COMPLIANCE), AND PARAGRA… | Final | $3.0M |
| 2025-06-02 | regulatory | ICE CLEAR CREDIT LLC ("ICE CLEAR CREDIT") FOUND THAT DEUTSCHE BANK AG ("DBAG") FAILED TO COMPLY WITH ICE CLEAR CREDIT RULE 404(B) RELATING TO THE TIMELY SUBMISSION OF TWO END-OF-DAY PRICES. | Final | $4K |
| 2025-04-11 | regulatory | BLOOMBERG SEF LLC ("BSEF") FOUND THAT DEUTSCHE BANK AG ("DBAG") FAILED TO REPORT ERROR TRADES IN A TIMELY MANNER IN ACCORDANCE WITH BSEF RULES, AND THAT DBAG FAILED TO ADMINISTER SUPERVISORY PROCEDURES TO ENSURE THAT ERROR TRADES WERE PROPERLY REPORTED AND CORRECTED ON BSEF. | Final | $135K |
| 2025-03-24 | regulatory | ON MAY 13, 2025, THE RESERVE BANK OF INDIA ("RBI") FOUND THAT DEUTSCHE BANK AG, INDIA ("DBAG") VIOLATED AN RBI DIRECTIVE BY FAILING TO REGISTER CERTAIN LARGE ACCOUNTS WITH THE CREDIT REPOSITORY OF INFORMATION ON LARGE CREDIT ("CRILC") PLATFORM. | Final | $58K |
| 2025-03-17 | regulatory | ON APRIL 1, 2025, DWS GROUP GMBH & CO. KGAA AND DWS INVESTMENT GMBH (TOGETHER, "DWS") RECEIVED AN ADMINISTRATIVE FINE NOTICE FROM THE FRANKFURT PUBLIC PROSECUTOR FINDING THAT DWS COMMITTED AN ADMINISTRATIVE OFFENSE BY NEGLIGENTLY BREACHING A REQUIREMENT REGARDING PROPER BUSINESS OPERATIONS IN THE GE… | Final | $27.5M |
| 2024-12-20 | regulatory | THE SEC FOUND THAT DEUTSCHE BANK SECURITIES, INC. ("DBSI") FAILED TO TIMELY FILE CERTAIN SUSPICIOUS ACTIVITY REPORTS, AND, ON CERTAIN OCCASIONS FAILED TO PROMPTLY INVESTIGATE OR COMPLETE INVESTIGATIONS OF POTENTIALLY SUSPICIOUS ACTIVITY WITHIN A REASONABLE PERIOD OF TIME. THE SEC FOUND THAT FROM APR… | Final | $4.0M |
| 2024-07-04 | regulatory | THE GERMAN FEDERAL FINANCIAL SUPERVISORY AUTHORITY ("BAFIN") DETERMINED THAT THE CONSOLIDATED FINANCIAL STATEMENTS OF DEUTSCHE BANK AG ("DBAG") FOR FY2019 MISAPPLIED THE INTERNATIONAL FINANCIAL REPORTING STANDARDS ("IFRS") - INTERNATIONAL ACCOUNTING STANDARDS ("IAS") RELATING TO SPECIFICS OF THE DIS… | Final | — |
| 2024-06-20 | regulatory | THE SECURITIES AND COMMODITIES AUTHORITY - UAE ("SCA") FOUND THAT DEUTSCHE BANK AG, DUBAI BRANCH (DEUTSCHE SECURITIES AND SERVICES) ("DSS") FAILED TO TIMELY SUBMIT A REQUIRED ANNUAL FINANCIAL REPORT FOR THE PERIOD ENDING DECEMBER 31, 2023. | On Appeal | $14K |