HSBC GLOBAL ASSET MANAGEMENT (UK) LIMITED of LONDON is an SEC-registered investment adviser (CRD 154700). Regulatory assets under management: $260.2B.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos.
Showing 25 of 48 people.
| Name | Role | Location |
|---|---|---|
| Natasha Cork | DIRECTOR; DIRECTOR & CHIEF RISK AND COMPLIANCE OFFICER | — |
| Jonathan Beater | COMPANY SECRETARY | — |
| Bernice Cole | CHIEF LEGAL OFFICER | — |
| Jonathan Iain Curry | CHIEF INVESTMENT OFFICER; DIRECTOR & ACTING CHIEF EXECUTIVE OFFICER; DIRECTOR & CHIEF INVESTMENT OFFICER | — |
| Matteo Pardi | CHAIRMAN | PARIS, I0 |
| Michelle Hilliman | DIRECTOR | — |
| Martha Fee | CHIEF OPERATING OFFICER | London, X0 |
| Daniel Rudd | DIRECTOR & CHIEF EXECUTIVE OFFICER | — |
| Ujen Man Singh Pradhan | CHIEF FINANCE OFFICER | — |
| Sajeda Bana | CHIEF FINANCIAL OFFICER | — |
| Stuart Kingsley White | DIRECTOR & CHIEF EXECUTIVE OFFICER | — |
| BROWN KEVIN THOMAS | CHIEF EXECUTIVE OFFICER | — |
| PARRY NIGEL DAVID | CHIEF COMPLIANCE OFFICER | — |
| DEAN MARY KATHERINE | COMPANY SECRETARY | — |
| APENBRINK RUDOLF EDUARD WALTER | DIRECTOR | — |
| STOKES EDMUND RICHARD | DIRECTOR | — |
| FLINT JOHN MICHAEL | CHAIRMAN | — |
| MUNRO JOANNA | DIRECTOR | — |
| CHEETHAM CHRISTOPHER SPENCER | DIRECTOR | — |
| CHOW CHRISTINE | DIRECTOR | — |
| MUNRO JOANNA MARY | CHAIRMAN; DIRECTOR | — |
| CORFIELD TONY | DIRECTOR | — |
| MAHER SARAH | COMPANY SECRETARY | — |
| CORK NATASHA | CHIEF COMPLIANCE OFFICER; DIRECTOR & CHIEF RISK AND COMPLIANCE OFFICER; INTERIM CHIEF RISK AND COMPLIANCE OFFICER | — |
| PARDI MATTEO | CHAIRMAN | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-05-24 | regulatory | IN MAY 2023 THE COMPETITION AND MARKETS AUTHORITY ISSUED A STATEMENT OF OBJECTIONS TO FIVE BANKS (DEUTSCHE BANK, MORGAN STANLEY, ROYAL BANK OF CANADA, CITI, AND HSBC). IN FEBRUARY 2025, THE COMPETITION AND MARKETS AUTHORITY ANNOUNCED THAT IT HAD REACHED A SETTLEMENT WITH HSBC. HSBC ACCEPTED THAT A S… | Final | $30.0M |
| 2021-12-02 | regulatory | THE EUROPEAN COMMISSION IN DECEMBER 2021 COMPLETED A CARTEL INVESTIGATION INTO THE FOREIGN EXCHANGE ('FOREX') SPOT TRADING MARKET BY IMPOSING FINES ON FIVE FINANCIAL INSTITUTIONS, INCLUDING HSBC HOLDINGS PLC. THE COMMISSION'S INVESTIGATION FOCUSED ON THE TRADING OF THE G10 CURRENCIES. THE COMMISSION… | Final | $197.0M |
| 2018-01-18 | regulatory | IN JANUARY 2018, FOLLOWING THE CONCLUSION OF THE US DEPARTMENT OF JUSTICE'S (DOJ) INVESTIGATION INTO HSBC'S HISTORICAL FOREIGN EXCHANGE ACTIVITIES, HSBC HOLDINGS ENTERED INTO A THREE-YEAR DEFERRED PROSECUTION AGREEMENT WITH THE CRIMINAL DIVISION OF THE DOJ (THE FX DPA), REGARDING FRAUDULENT CONDUCT… | Final | $101.5M |
| 2017-09-29 | regulatory | IN SEPTEMBER 2017, FOLLOWING THE CONCLUSION OF THE US FEDERAL RESERVE BOARD'S REVIEW OF THE EFFECTIVENESS OF HSBC'S FX PRACTICES DURING THE PERIOD OF OCTOBER 2008 THROUGH OCTOBER 2013, HSBC HOLDINGS PLC AND HSBC NORTH AMERICA HOLDINGS INC. ENTERED INTO A CONSENT ORDER REGARDING CERTAIN DEFICIENCIES… | Final | $175.3M |
| 2016-12-07 | regulatory | IN DECEMBER 2016, THE EUROPEAN COMMISSION (THE 'COMMISSION') ISSUED A DECISION THAT IN EARLY 2007 HSBC, AMONG OTHER BANKS, COLLUDED ON EURO INTEREST RATE DERIVATIVE PRICING ELEMENTS, AND EXCHANGED RELATED SENSITIVE INFORMATION, IN BREACH OF EU ANTITRUST RULES. THE COMMISSION DETERMINED THAT THE DURA… | Final | $37.8M |
| 2016-12-07 | regulatory | IN DECEMBER 2016, THE EUROPEAN COMMISSION (THE 'COMMISSION') ISSUED A DECISION THAT IN EARLY 2007 HSBC, AMONG OTHER BANKS, COLLUDED ON EURO INTEREST RATE DERIVATIVE PRICING ELEMENTS, AND EXCHANGED RELATED SENSITIVE INFORMATION, IN BREACH OF EU ANTITRUST RULES. THE COMMISSION DETERMINED THAT THE DURA… | On Appeal | $37.8M |