SARASIN & PARTNERS LLP of LONDON is an SEC exempt reporting adviser (CRD 160009).
Showing 25 of 26 people.
| Name | Role | Location |
|---|---|---|
| Vicky Safra | SHAREHOLDER | — |
| David Joseph Safra | SHAREHOLDER | — |
| Jacob Joseph Safra | SHAREHOLDER | — |
| Emily Sarah Lanfear | CHIEF LEGAL OFFICER | — |
| Richard William Jocelyn | CHIEF COMPLIANCE OFFICER | — |
| Philip Alec James Collins | CHIEF INVESTMENT OFFICER | — |
| Timothy James Temple | PARTNER AND CHIEF OPERATING OFFICER | — |
| Robert William Shillinglaw | CHIEF FINANCE OFFICER | — |
| Guy Vincent Matthews | PARTNER & CHIEF EXECUTIVE OFFICER | — |
| Matthew Christian William Hicks | CHIEF RISK OFFICER | — |
| MATTHEWS GUY VINCENT | PARTNER & CHIEF EXECUTIVE OFFICER; PARTNER & CHIEF OPERATIONS OFFICER | — |
| MONSON JOHN GUY ELMHIRST | PARTNER & CHIEF EXECUTIVE OFFICER | — |
| COLLINS MICHAEL JAMES | CO-CHIEF INVESTMENT OFFICER | — |
| SAFRA MOISE YACOUB | SHAREHOLDER | — |
| TAYLOR ADRIAN RICHARD | CHIEF FINANCIAL OFFICER | — |
| SERVICE THOMAS NICHOLAS MCKINLAY | CHIEF FINANCIAL OFFICER | — |
| WELLS CAROLINE ELIZABETH | PARTNER & CHIEF COMPLIANCE OFFICER | — |
| Temple Timothy James | PARTNER AND CHIEF OPERATING OFFICER | — |
| SAFRA VICKY NMN | SHAREHOLDER | — |
| Safra Jacob Joseph | SHAREHOLDER | — |
| Lanfear Emily Sarah | CHIEF LEGAL OFFICER | — |
| SAFRA VICKY | SHAREHOLDER | — |
| JOCELYN RICHARD | CHIEF COMPLIANCE OFFICER | — |
| THOMAS JEREMY MILES | CO-CHIEF INVESTMENT OFFICER | — |
| JOCELYN RICHARD WILLIAM | CHIEF COMPLIANCE OFFICER | — |
Showing 10 of 12 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-06-14 | regulatory | REPRIMAND (VERWEIS) BY THE DISCIPLINARY COMMITTEE OF EUREX DEUTSCHLAND - GERMANY AGAINST BANK J. SAFRA SARASIN LTD FOR OMITTING TO PROPERLY REGISTER TRADING ALGORITHMS IN TWO INSTANCES. | Final | — |
| 2021-07-14 | regulatory | REPRIMAND (VERWEIS) BY THE DISCIPLINARY COMMITTEE EUREX DEUTSCHLAND - GERMANY AGAINST BANK J. SAFRA SARASIN LTD FOR FAILING TO CONVERT SHORT CODES INTO LONG CODES IN CERTAIN REPORTING. | Final | — |
| 2020-03-12 | regulatory | DURING A MAS INSPECTION ON THE SINGAPORE BRANCH OF BANK J. SAFRA SARASIN LTD CONDUCTED IN 2019, AND AS SET OUT IN MAS INSPECTION REPORT DATED 12 MARCH 2020, MAS IDENTIFIED SEVERAL CONTRAVENTIONS OF MAS NOTICE 626. | Final | $755K |
| 2020-01-15 | regulatory | BY LETTER DATED 15 JANUARY 2020, FINMA NOTIFIED BANK J. SAFRA SARASIN LTD THAT IT HAS DECIDED TO START A PROCEDURE AGAINST THE BANK TO DETERMINE IF THE BANK HAS VIOLATED THE SUPERVISORY LAWS. | Final | — |
| 2018-11-05 | criminal | BANK J. SAFRA SARASIN LTD HAS ALLEGEDLY NOT TAKEN ALL REASONABLE AND NECESSARY ORGANIZATIONAL MEASURES RELATED TO THE PREVENTION OF AGGREGATED MONEY LAUNDERING AND COMPLICITY OF CORRUPTION OF FOREIGN PUBLIC AGENTS IN CONNECTION TO CERTAIN PAYMENTS EXECUTED BY CLIENTS WHO HELD ACCOUNTS WITH THE BANK… | Final | — |
| 2018-11-05 | criminal | BANK J. SAFRA SARASIN LTD HAS ALLEGEDLY NOT TAKEN ALL REASONABLE AND NECESSARY ORGANIZATIONAL MEASURES RELATED TO THE PREVENTION OF AGGREGATED MONEY LAUNDERING AND COMPLICITY OF CORRUPTION OF FOREIGN PUBLIC AGENTS IN CONNECTION TO CERTAIN PAYMENTS EXECUTED BY CLIENTS WHO HELD ACCOUNTS WITH THE BANK… | Pending | — |
| 2018-02-09 | regulatory | BETWEEN 25 MAY 2017 AND 2 MARCH 2018 DURING A FUND MERGER THE IRISH FUNDS MANAGEMENT COMPANY: 1. BREACHED INVESTMENT RESTRICTIONS IN THE UCITS REGULATIONS; 2. BREACHED INVESTMENT RESTRICTIONS IN THE MERGING FUND'S PROSPECTUS; 3. HAD INEFFECTIVE REPORTING AND COMMUNICATION PROCEDURES WITH THE FIRM'S… | Final | $448K |
| 2017-05-31 | civil | PRIVATE PLAINTIFF CLAIMED THAT IT WAS ILL-ADVISED BY BANK J. SAFRA SARASIN LTD WHEN INVESTING IN AN INVESTMENT FUND. | Final | $1.0M |
| 2016-05-09 | criminal | BANK J. SAFRA SARASIN LTD WAS CHARGED ON 9 MAY 2016 IN THE CONTEXT OF AN ONGOING JUDICIAL INVESTIGATION UNRELATED TO THE BANK WHICH COMMENCED ON 31 MARCH 2009 AND RELATED PREDOMINANTLY TO ALLEGED SEVERAL SCAMS COMMITTED BY THIRD PARTIES IN REAL ESTATE OPERATIONS CARRIED OUT IN SOUTHERN CORSICA, IN W… | On Appeal | — |
| 2016-05-09 | criminal | BANK J. SAFRA SARASIN LTD WAS CHARGED ON 9 MAY 2016 IN THE CONTEXT OF AN ONGOING JUDICIAL INVESTIGATION UNRELATED TO THE BANK WHICH COMMENCED ON 31 MARCH 2009 AND RELATED PREDOMINANTLY TO ALLEGED SEVERAL SCAMS COMMITTED BY THIRD PARTIES IN REAL ESTATE OPERATIONS CARRIED OUT IN SOUTHERN CORSICA, IN W… | Pending | — |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| SARASIN IE MULTI ASSET - DYNAMIC (USD) | Other Private Fund | Ireland | 271 | $396.7M | $3K |
| SARASIN IE GLOBAL EQUITY OPPORTUNITIES (USD) | Other Private Fund | Ireland | 86 | $73.1M | $3K |
| SARASIN IE MULTI ASSET - STRATEGIC (USD) | Other Private Fund | Ireland | 76 | $64.8M | $3K |