BARINGS (U.K.) LIMITED of LONDON is an SEC exempt reporting adviser (CRD 158277).
Showing 25 of 37 people.
| Name | Role | Location |
|---|---|---|
| Jill Elyse Dinerman | DIRECTOR | — |
| Rhian Catrin Williams | DIRECTOR, SECRETARY; SECRETARY | — |
| Katherine Louise Kemp | DIRECTOR | — |
| Martin Scott Horne | DIRECTOR | — |
| Charlotte Michelle Phillips | DIRECTOR | — |
| Alex Campbell Sutherland | DIRECTOR | — |
| THOMPSON DAVID JOHN | NON-EXECUTIVE DIRECTOR; NON-EXECUTIVE DIRECTOR OF BABSON CAPITAL EUROPE LIMITED; NON-EXECUTIVE DIRECTOR OF BABSON CAPITAL MANAGEMENT (UK) LIMITED (+1 more) | — |
| SWAYNE JULIAN T | CEO; CHIEF EXECUTIVE OFFICER; DIRECTOR | — |
| CLARK STUART JAMES | GENERAL COUNSEL OF BABSON CAPITAL MANAGEMENT (UK) LIMITED; GENERAL COUNSEL OF BARINGS (U.K.) LIMITED; HEAD OF LEGAL & COMPLIANCE OF BABSON CAPITAL EUROPE LIMITED | — |
| FINKE THOMAS MICHAEL | DIRECTOR; DIRECTOR / CHAIRMAN OF BABSON CAPITAL EUROPE LIMITED; DIRECTOR OF BABSON CAPITAL MANAGEMENT (UK) LIMITED (+1 more) | — |
| BRENNAN MICHAEL JOHN | NON-EXECUTIVE DIRECTOR OF BABSON CAPITAL EUROPE LIMITED; NON-EXECUTIVE DIRECTOR OF BABSON CAPITAL MANAGEMENT (UK) LIMITED | — |
| BIGGINS CHRISTOPHER GERALD | CHIEF COMPLIANCE OFFICER OF BARINGS (U.K.) LIMITED | — |
| DEFRANCIS CHRISTOPHER ANTHONY | COMPANY SECRETARY OF BABSON CAPITAL EUROPE LIMITED; COMPANY SECRETARY OF BABSON CAPITAL MANAGEMENT (UK) LIMITED; COMPANY SECRETARY OF BARINGS (U.K.) LIMITED | — |
| CHICARES ELIZABETH WARD | DIRECTOR; NON-EXECUTIVE DIRECTOR; NON-EXECUTIVE DIRECTOR OF BABSON CAPITAL EUROPE LIMITED (+2 more) | — |
| KENT JOHN | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER OF BARINGS (U.K.) LIMITED; DIRECTOR | — |
| MORRISON WILLIAM DANIEL | DIRECTOR / CHAIRMAN OF BABSON CAPITAL MANAGEMENT (UK) LIMITED; DIRECTOR / CHAIRMAN OF BARINGS (U.K.) LIMITED; DIRECTOR OF BABSON CAPITAL EUROPE LIMITED | — |
| FRANCIS SHELDON MAURICE | DIRECTOR | — |
| BURGEL OLIVER | DIRECTOR / CHIEF OPERATING OFFICER OF BABSON CAPITAL EUROPE LIMITED; DIRECTOR / CHIEF OPERATING OFFICER OF BABSON CAPITAL MANAGEMENT (UK) LIMITED; DIRECTOR / CHIEF OPERATING OFFICER OF BARINGS (U.K.) LIMITED | — |
| EVANS NICHOLAS EMRYS | COMPANY SECRETARY OF BARINGS (U.K.) LIMITED; GENERAL COUNSEL / COMPANY SECRETARY; SECRETARY | — |
| HOEFLING PATRICK LOUIS | DIRECTOR | — |
| SWAIN JULIAN SIMON | DIRECTOR / CHIEF OPERATING OFFICER OF BARINGS (U.K.) LIMITED | — |
| BROWNING EMMA LOUISE | CHIEF COMPLIANCE OFFICER | — |
| SUTHERLAND ALEX | CHIEF FINANCE OFFICER; DIRECTOR | — |
| DINERMAN JILL Elyse | DIRECTOR | — |
| CALLOW AMY | SECRETARY | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-03-31 | regulatory | IT WAS ALLEGED THAT MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY'S PRACTICES AND PROCEDURES DID NOT COMPLY WITH STATUTORY AND REGULATORY PROVISIONS: 18 DEL ADMIN. C.§1203-4.0 LIFE INSURANCE SOLICITATION DEFINITIONS; 18 DEL. ADMIN C. §1204-5.2 DUTIES OF AGENTS AND BROKERS; 18 DEL. C. §1204.7.1 DUTIES… | Final | $134K |
| 2022-05-26 | regulatory | MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY MUST CERTIFY ANNUALLY TO THE OFFICE OF THE INSURANCE COMMISSIONER ("OIC") THE INSURANCE PRODUCERS THAT ARE SELLING, SOLICITING OR NEGOTIATING THE COMPANY'S LONG TERM CARE ("LTC") INSURANCE PRODUCTS HAVE COMPLETED LTC REQUIREMENTS. THE CERTIFICATION IS REQU… | Final | $10K |
| 2022-04-12 | regulatory | IN 2003 THE INSURED PURCHASED A FLEXIBLE PREMIUM ADJUSTABLE LIFE INSURANCE POLICY WITH A FACE AMOUNT $500,000. IT WAS ALLEGED THAT MASSMUTUAL RAISED THE PREMIUMS AND CHANGED AND CANCELLED THE POLICY WITHOUT NOTIFYING THE INSURED. THE INSURED FURTHER ALLEDGED THAT THE AGENT DID NOT EXPLAIN THAT THE P… | Final | $1K |
| 2017-10-03 | regulatory | THE STATE OF CONNECTICUT INSURANCE DEPARTMENT CONDUCTED A MARKET CONDUCT EXAMINATION FOR THE PERIOD JANUARY 1, 2014 THROUGH DECEMBER 31, 2016 OF MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ("MASSMUTUAL"). MASSMUTUAL IS THE PARENT OF MML INVESTMENT ADVISERS, LLC. AT THE CONCLUSION OF THE EXAMINATION,… | Final | $61K |
| 2013-10-17 | regulatory | HUD ALLEGED THAT MASSMUTUAL FAILED TO SUBMIT (I) AUDITED FINANCIAL STATEMENTS AND SUPPLEMENTARY REPORTS; (II) THE ANNUAL RECERTIFICATION FEE; (III) THE CALL REPORTS; AND (IV) THE ONLINE CERTIFICATION (COLLECTIVELY, THE "ANNUAL RECERTIFICATION REQUIREMENTS") WITHIN 90 DAYS OF THE CLOSE OF ITS FISCAL… | Final | $8K |
| 2012-04-20 | regulatory | THE COMMONWEALTH OF VIRGINIA, BUREAU OF INSURANCE (THE "BUREAU") ALLEGED THAT MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ("MASSMUTUAL") VIOLATED SUBSECTIONS 38.2-502(1) AND 14 VAC 5-40-40(A)(1) AND (A)(4), MARKETING COMMUNICATION STANDARDS AND REQUIREMENTS OF THE COMMONWEALTH OF VIRGINIA STATE CORP… | Final | $4K |
| 2012-01-01 | regulatory | THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ("DFS") COMMENCED AN INVESTIGATION FOR THE PERIOD OF 1/1/2012-5/31/2018. DURING ITS INVESTIGATION, DFS IDENTIFIED A PRACTICE ARISING FROM THE REPLACEMENT OF DEFERRED ANNUITY CONTRACTS WITH IMMEDIATE INCOME ANNUITY CONTRACTS IN VIOLATION OF THE DISC… | Final | $692K |
Showing 15 of 23 funds by gross asset value.
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| BARINGS EURO CLO 2020-1 DAC | Securitized Asset Fund | Ireland | 2 | $578.4M | $117K |
| BARINGS EURO CLO 2024-1 DAC | Securitized Asset Fund | Ireland | 2 | $484.8M | $117K |
| BARINGS EURO MIDDLE MARKET CLO 2025-1 DAC | Securitized Asset Fund | Ireland | 2 | $469.9M | $117K |
| BARINGS EURO CLO 2024-2 | Securitized Asset Fund | Ireland | 2 | $467.3M | $117K |
| BARINGS EURO CLO 2023-1 DAC | Securitized Asset Fund | Ireland | 2 | $466.5M | $117K |
| BARINGS EURO CLO 2023-2 DAC | Securitized Asset Fund | Ireland | 2 | $464.5M | $117K |
| BARINGS EURO CLO 2025-1 | Securitized Asset Fund | Ireland | 2 | $457.8M | $117K |
| BARINGS EURO CLO 2021-3 DAC | Securitized Asset Fund | Ireland | 2 | $451.2M | $117K |
| BARINGS EURO CLO 2015-1 DAC | Securitized Asset Fund | Ireland | 2 | $450.5M | $117K |
| BARINGS EURO CLO 2019-1 DAC | Securitized Asset Fund | Ireland | 2 | $450.5M | $117K |
| BARINGS EURO CLO 2021-1 DAC | Securitized Asset Fund | Ireland | 2 | $449.1M | $117K |
| BARINGS EURO CLO 2021-2 DAC | Securitized Asset Fund | Ireland | 2 | $445.7M | $117K |
| BARINGS EURO CLO 2019-2 DAC | Securitized Asset Fund | Ireland | 2 | $395.2M | $117K |
| BARINGS EURO MIDDLE MARKET CLO 2024-1 DAC | Securitized Asset Fund | Ireland | 2 | $389.2M | $117K |
| BARINGS EURO CLO 2018-2 DAC | Securitized Asset Fund | Ireland | 2 | $229.4M | $104K |