WESTERN ASSET MANAGEMENT COMPANY PTE LTD of SINGAPORE is an SEC-registered investment adviser (CRD 142188). Regulatory assets under management: $2.8B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Courtney Ann Hoffmann | NON-EXECUTIVE DIRECTOR | — |
| Hui Kwoon Shirlean Thor | FINANCE MANAGER | — |
| Lip Sin Alvin Lee | EXECUTIVE DIRECTOR AND CHIEF COMPLIANCE OFFICER | — |
| Su Ee Hedy Tan | DIRECTOR AND CEO; NON-EXECUTIVE DIRECTOR AND INTERIM CEO | — |
| SCHEVE TIMOTHY CHARLES | NON-EMPLOYEE DIRECTOR | — |
| BAIN PETER LANNING | NON-EMPLOYEE DIRECTOR | — |
| RUYS DE PEREZ CHARLES ANTONY | NON-EXECUTIVE DIRECTOR | — |
| CANON BRETT BENJAMIN | CHIEF EXECUTIVE OFFICER | — |
| FLEET DAVID DANIEL | NON-EMPLOYEE DIRECTOR | — |
| ZELOUF MICHAEL BARUCH | NON-EMPLOYEE DIRECTOR | — |
| NATTANS JEFFREY ALLEN | NON-EMPLOYEE DIRECTOR | — |
| THOR HUI KWOON SHIRLEAN | FINANCE MANAGER | — |
| DE MELLO RAJEEV | CHIEF EXECUTIVE OFFICER AND EXECUTIVE DIRECTOR | — |
| TAN IAN | SECRETARY AND CHIEF COMPLIANCE OFFICER | — |
| DEWHURST RONALD RICHARD | NON-EMPLOYEE DIRECTOR | — |
| LAROCQUE JOSEPH PATRICK | NON-EXECUTIVE DIRECTOR | — |
| LEE LIP SIN ALVIN | CHIEF COMPLIANCE OFFICER; EXECUTIVE DIRECTOR AND CHIEF COMPLIANCE OFFICER | — |
| SMITH JILLIAN AVIS KATHRYN | DIRECTOR | — |
| CHEANG KEITH | SECRETARY AND CHIEF COMPLIANCE OFFICER | — |
| HAMROCK HENRY P | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND EXECUTIVE DIRECTOR | — |
| BOYDSTON LAURA A | NON-EXECUTIVE DIRECTOR | — |
| Dale Michael | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER AND EXECUTIVE DIRECTOR | — |
| HOFFMANN DEBORAH ANN | NON-EXECUTIVE DIRECTOR | — |
| Ser Chon N/A Goh | CHIEF COMPLIANCE OFFICER | — |
| Shirley Yu | NON-EXECUTIVE DIRECTOR | UNION CITY, NJ |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-08-27 | regulatory | ON AUGUST 27, 2018, THE SEC ISSUED AN ORDER THAT FOUND THAT LEGG MASON HAD VIOLATED SECTION 13(B)(2)(B) OF THE SECURITIES EXCHANGE ACT OF 1934 BY FAILING TO DEVISE AND MAINTAIN A SYSTEM OF APPROPRIATE INTERNAL ACCOUNTING CONTROLS WITH RESPECT TO THE USE OF INTRODUCING BROKERS AND OTHER INTERMEDIARIE… | Final | — |
| — | regulatory | — | — | — |