SANTANDER ASSET MANAGEMENT SA SGIIC of MADRID is an SEC-registered investment adviser (CRD 143883). Regulatory assets under management: $159.9B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 61 people.
| Name | Role | Location |
|---|---|---|
| Lazaro De Lazaro-Torres | DIRECTOR, PRESIDENT AND CHAIRMAN OF THE BOARD | — |
| Juan Garcia-Aragon | CHIEF FINANCIAL OFFICER | — |
| Maria Ussia-Bertran | CHIEF LEGAL OFFICER/SECRETARY | — |
| Ignacio Perez-Chirinos | CHIEF OPERATIONS OFFICER | — |
| Jose Mercado Garcia | INDEPENDENT DIRECTOR, BOARD MEMBER | — |
| Jacobo Ortega-Vich | CHIEF INVESTMENT OFFICER | — |
| Pablo Corton-Cerro | CHIEF COMPLIANCE OFFICER | — |
| Nicolas Barquero-Aranda | DIRECTOR AND CHIEF EXECUTIVE OFFICER | — |
| Maria Luz Medina-Vazquez | DIRECTOR | — |
| BUENDIA-MUNOZ MARIA LUISA | CHIEF FINANCIAL OFFICER | — |
| GUITARD-MARIN JUAN | DIRECTOR; VICE CHAIRMAN | — |
| FAZ-ESCANO ANTONIO | CHIEF LEGAL OFFICER | — |
| MERCADO-GARCIA JOSE | CHIEF COMPLIANCE OFFICER; VICE CHAIRMAN | — |
| EYRIES-GARCIA-DE-VINUESA ELENA | CHIEF INVESTMENT OFFICER | — |
| YBARRA MARIA DOLORES | CHIEF INVESTMENT OFFICER; DIRECTOR & CEO | — |
| DIAZ-NUNEZ CARLOS | DIRECTOR | — |
| ALONSO-TEJUCA GONZALO | DIRECTOR | — |
| ALCARAZ-LOPEZ JUAN | CHAIRMAN; DIRECTOR | — |
| MARIN-ROMANO JAVIER | DIRECTOR | — |
| LOPEZ-GIL MARIA PILAR | CHIEF OPERATIONS OFFICER | — |
| GRIMA-I-TERRE JOAN DAVID | CHAIRMAN | — |
| RODRIGUEZ-SANCHEZ PILAR | DIRECTOR & GOVERNANCE | — |
| GARCIA-CANDELAS ENRIQUE | DIRECTOR | — |
| SUAREZ EDUARDO | DIRECTOR | — |
| LARENA-LANDETA PEDRO | DIRECTOR | — |
Showing 10 of 14 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-03-29 | regulatory | AS A RESULT OF AN INSPECTION OF A 2014 MORTGAGE PORTFOLIO, THE BANK OF SPAIN CITED BANCO SANTANDER, S.A. WITH EXCESSIVE CHARGING OF COMMISSIONS AND FAILURE TO PROVIDE SUFFICIENT INFORMATION TO CONSUMERS TO ALLOW THEM TO MAKE AN INFORMED DECISION ON THE PURCHASE OF SAID PORTFOLIOS. | Final | $8.9M |
| 2018-11-28 | regulatory | FAILURE TO MAINTAIN CERTAIN ANTI-MONEY LAUNDERING CONTROLS RELATED TO CUSTOMER DUE DILIGENCE BETWEEN SEPTEMBER 2015 AND JUNE 2017, IN A MANNER THAT MET THE STANDARDS REQUIRED UNDER CHINESE LAW. | Final | $146K |
| 2018-09-27 | regulatory | FAILURE TO ACT IN CUSTOMERS' BEST INTERESTS AS REQUIRED UNDER SPANISH LAW, IN CONNECTION WITH THE PLACEMENT OF SHARES OF COLLECTIVE INVESTMENT UNDERTAKINGS IN CUSTOMERS' MANAGED AND ADVISED PORTFOLIOS. | Final | $5.2M |
| 2018-07-25 | regulatory | AS A RESULT OF AN INSPECTION OF A 2014 MORTGAGE PORTFOLIO, THE BANK OF SPAIN CITED BANCO SANTANDER, S.A. WITH EXCESSIVE CHARGING OF COMMISSIONS AND FAILURE TO PROVIDE SUFFICIENT INFORMATION TO CONSUMERS TO ALLOW THEM TO MAKE AN INFORMED DECISION ON THE PURCHASE OF SAID PORTFOLIOS. BANCO SANTANDER, S… | On Appeal | $5.0M |
| 2018-05-05 | regulatory | FAILURE TO MAINTAIN CERTAIN ANTI-MONEY LAUNDERING CONTROLS (RELATING TO, AMONG OTHER THINGS, CUSTOMER DUE DILIGENCE AND THE FILING OF SUSPICIOUS ACTIVITY REPORTS DURING THE PERIOD OF TIME BETWEEN 2012 AND 2015) MEETING THE STANDARDS REQUIRED UNDER SPANISH LAW. | Final | $12.3M |
| 2018-05-05 | regulatory | FAILURE TO MAINTAIN CERTAIN ANTI-MONEY LAUNDERING CONTROLS (RELATING TO, AMONG OTHER THINGS, CUSTOMER DUE DILIGENCE AND THE FILING OF SUSPICIOUS ACTIVITY REPORTS DURING THE PERIOD OF TIME BETWEEN 2012 AND 2015) MEETING THE STANDARDS REQUIRED UNDER SPANISH LAW. | On Appeal | $12.3M |
| 2017-06-15 | criminal | — | Pending | — |
| 2016-09-12 | civil | PLAINTIFFS ALLEGE THE FOLLOWING AGAINST THE APPLICANT, ITS CONTROL AFFILIATE AND OTHER DEFENDANTS: 1. A DERIVATIVE CLAIM FOR AIDING AND ABETTING BREACH OF FIDUCIARY DUTY AGAINST ALL DEFENDANTS. 2.A DERIVATIVE CLAIM FOR UNJUST ENRICHMENT/CONSTRUCTIVE TRUST AGAINST ALL DEFENDANTS. 3.A CLASS ACTION CLA… | Pending | — |
| 2014-01-30 | regulatory | ALLEGED MARKET MANIPULATION PRACTICES | Final | $51K |
| 2013-05-22 | regulatory | BREACH OF THE DILIGENCE AND INFORMATION DUTIES ALLEGED IN CONNECTION WITH THE PURCHASE OF SOME RISKY ASSETS BY THE CLAIMING PARTY (BEING A CONSERVATIVE CLIENT). | On Appeal | $2.1M |