CI GLOBAL INVESTMENTS INC. of OAKLAND, CA is an SEC-registered investment adviser (CRD 156752). Regulatory assets under management: $14.7B.
Compensation: Other.
Clients served: Investment cos.
Showing 25 of 27 people.
| Name | Role | Location |
|---|---|---|
| Amit Muni | EXECUTIVE VICE-PRESIDENT | Toronto, A6 |
| William Albert Chinkiwsky | CHIEF COMPLIANCE OFFICER | — |
| Elsa Li | DIRECTOR, SENIOR VICE PRESIDENT AND GENERAL COUNSEL | — |
| Yvette Zhang | DIRECTOR AND CHIEF FINANCIAL OFFICER | — |
| Marc-Andre Lewis | DIRECTOR | — |
| Marc-André Lewis | DIRECTOR | — |
| MUNI AMIT | DIRECTOR, CHIEF FINANCIAL OFFICER, SENIOR VICE PRESIDENT; EXECUTIVE VICE-PRESIDENT | — |
| JAMIESON PATRICIA J | CHIEF FINANCIAL OFFICER | — |
| GREEN DEREK JEFFREY | PRESIDENT | — |
| JAMIESON DOUGLAS JOHN | CHIEF FINANCIAL OFFICER | — |
| VON BOETTICHER CHRIS HERBERT JUERGEN | GENERAL COUNSEL | — |
| RADLO ALAN ROBERT | SENIOR VICE-PRESIDENT, PORTFOLIO MANAGEMENT | — |
| GILLIES JANET CHEW | CHIEF COMPLIANCE OFFICER | — |
| GREEN DEREK J | PRESIDENT | — |
| BOETTICHER CHRIS VON | GENERAL COUNSEL | — |
| RADLO ALAN | SENIOR VICE-PRESIDENT, PORTFOLIO MANAGEMENT | — |
| GILLIES JANET | CHIEF COMPLIANCE OFFICER | — |
| PAULI DAVID C | DIRECTOR | — |
| CHINKIWSKY WILLIAM ALBERT | CHIEF COMPLIANCE OFFICER | — |
| LIAO PHONG | CHIEF COMPLIANCE OFFICER | — |
| Kelterborn Ronald Douglas | DIRECTOR AND GENERAL COUNSEL | — |
| KELTERBORN EDWARD | GENERAL COUNSEL | — |
| RAMSAY ANNE FORRESTER | CHIEF COMPLIANCE OFFICER | — |
| VASHISHT AJAY | CHIEF COMPLIANCE OFFICER | — |
| Urbanky Darie | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-03-01 | regulatory | THE FIRM ENTERED INTO A SETTLEMENT AGREEMENT WITH STAFF OF THE OSC. THE AGREEMENT WAS IN RESPECT OF THE FIRM'S NON-COMPLIANCE WITH NATIONAL INSTRUMENT 81-105 - MUTUAL FUND SALES PRACTICES. PURSUANT TO THE SETTLEMENT AGREEMENT, THE FIRM AGREED TO PAY AN ADMINISTRATIVE PENALTY IN THE AMOUNT OF $1,500,… | Final | $1.5M |
| 2017-03-01 | regulatory | SENTRY INVESTMENTS INC. ENTERED INTO A SETTLEMENT AGREEMENT WITH STAFF OF THE OSC. THE AGREEMENT WAS IN RESPECT OF THE FIRM'S NON-COMPLIANCE WITH NATIONAL INSTRUMENT 81-105 - MUTUAL FUND SALES PRACTICES. PURSUANT TO THE SETTLEMENT AGREEMENT, THE FIRM AGREED TO PAY AN ADMINISTRATIVE PENALTY IN THE AM… | Final | $1.5M |
| 2016-02-05 | regulatory | CI INVESTMENTS INC. SELF-REPORTED A MATTER TO THE ONTARIO SECURITIES COMMISSION STAFF IN CONNECTION WITH THE FAILURE TO RECORD INTEREST WITHIN CERTAIN FUNDS IN A TIMELY MANNER. | Final | $8.0M |