BTG PACTUAL (UK) LIMITED of LONDON is an SEC exempt reporting adviser (CRD 159871).
| Name | Role | Location |
|---|---|---|
| Andre Santos Esteves | SHAREHOLDER | — |
| Thirzah Silveira Paixao Mills | CHIEF COMPLIANCE OFFICER | — |
| Frederico Monnerat Araujo | EXECUTIVE DIRECTOR AND CEO | — |
| JACOBS JOSEPH MICHAEL | DIRECTOR AND CEO; MANAGING PARTNER | — |
| ESTEVES ANDRE SANTOS | SHAREHOLDER | — |
| JACOBS NEAL SCOTT | CHIEF COMPLIANCE OFFICER | — |
| JENKINS JOHN HUW GWILI | MANAGING PARTNER | — |
| BEDWIN MICHELLE ANNE | CHIEF COMPLIANCE OFFICER | — |
| Kalim Marcelo | SHAREHOLDER | — |
| Sallouti Roberto Balls | SHAREHOLDER | — |
| KOKUBO LUIZ GUSTAVO SUPPION | CHIEF COMPLIANCE OFFICER | — |
| FELCE ANDREW GEORGE | MANAGING PARTNER | — |
| ESTIER ANTOINE ANDRE MARIE | MANAGING PARTNER | — |
| HERZBERG DAVID ELIEZER | MANAGING PARTNER | — |
| ISOLANI ROBERTO | DIRECTOR; MANAGING PARTNER | — |
| CLERGET BENJAMIN | CHIEF INVESTMENT OFFICER; DIRECTOR; MANAGING PARTNER | — |
| Marcos Viriato Countinho | CHIEF COMPLIANCE OFFICER | — |
| Silveira Paixao Mills Thirzah | CHIEF COMPLIANCE OFFICER | — |
| ARAUJO FREDERICO MONNERAT | EXECUTIVE DIRECTOR; EXECUTIVE DIRECTOR AND CEO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-07-16 | regulatory | CVM TO ASSESS THE RESPONSIBILITY OF BTG PACTUAL ON THE ALLEGED NON-COMPLIANCE WITH THE LEGAL PROVISION GRANTED TO MINORITY SHAREHOLDERS OF A COMPANY - PROVIDED THE APPLICABLE LEGAL PARAMETERS ARE COMPLIED WITH - REGARDING THE RIGHT TO APPOINT ON A SEPARATE ELECTION ITS MEMBER AND CORRESPONDENT ALTER… | Pending | — |
| 2015-08-21 | regulatory | SPOOFING IN VIOLATION OF EXCHANGE RULES | Final | $50K |
| 2014-09-15 | regulatory | THE CMVM ALLEGED THAT BTG PACTUAL EUROPE LLP ("BTG EUROPE") FAILED TO REPORT A NET SHORT POSITION OVER LISTED SHARES IN MARCH OF 2014 AND JULY OF 2014 UNDER ARTICLES 5(1)(2) AND 9(2) OF EU REGULATION NO. 236/2012, WHICH CONSTITUTES AN OFFENSE UNDER ARTICLE 389(1) (C) OF THE PORTUGUESE SECURITIES COD… | Final | $25K |
| — | regulatory | — | — | — |