BNP PARIBAS ASSET MANAGEMENT UK LIMITED of LONDON is an SEC-registered investment adviser (CRD 160817). Regulatory assets under management: $54.2B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 44 people.
| Name | Role | Location |
|---|---|---|
| Taylor Alan | HEAD OF COMPLIANCE UK | Lehi, UT |
| Iain Heeps | DEPUTY CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| Richard Guy Davies | DIRECTOR | — |
| Alexander John Pattison | HEAD OF UK LEGAL | — |
| Timothy William Trotter | CHIEF COMPLIANCE OFFICER, US REGULATORY MATTERS | — |
| Sandro Alfredo Pierri | DIRECTOR | — |
| Cecile Marguerite Veronique Lesage | DIRECTOR | — |
| Jacques Van Zyl | HEAD OF FINANCE | — |
| Roger Paul Miners | CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| Anne Marie Odile Albertine Verstraeten | DIRECTOR | — |
| Danuta Sarah Mcpartlin | DIRECTOR | — |
| Ada Kin Man Poon | HEAD OF UK COMPLIANCE | — |
| LANCASTER DEBORAH | DIRECTOR; HEAD OF LEGAL; INTERIM CHIEF EXECUTIVE OFFICER | — |
| CAMERLYNCK VINCENT | CHAIRMAN AND DIRECTOR | — |
| MEISTER ROBIN SUE | CHIEF COMPLIANCE OFFICER, US REGULATORY MATTERS | — |
| WARD JONATHAN MARK | HEAD OF UK COMPLIANCE; INTERIM HEAD OF UK COMPLIANCE | — |
| KEMP ANTHONY | HEAD OF COMPLIANCE, UK REGULATORY MATTERS | — |
| DENNERY PASCALE CHARLOTTE | DIRECTOR | — |
| HILLDRUP GARY | CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| DE STEFANO MARCO | CHIEF FINANCIAL OFFICER | — |
| TORRES FENTANES NORMA LIGIA | CHAIRMAN AND DIRECTOR | — |
| DIULIUS MAX | DIRECTOR | — |
| MCALEENAN JAMES WILLIAM | DIRECTOR | — |
| KIDDIE DAVID GRAHAM | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, DIRECTOR | — |
| GAMBLE ANGELA MICHELLE | ACTING HEAD UK COMPLIANCE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-08-08 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ALLEGED THAT FROM AT LEAST 2014 TO THE PRESENT BNP PARIBAS S.A. AND BNP PARIBAS SECURITIES CORP. FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO THE BUSINESS OF THE FUTURE COMMISSION MERCHANT, IN WILLFUL VIOLATION OF SECTIONS 4S(F)(1… | Final | $75.0M |
| 2022-07-05 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ALLEGED THAT, FROM AT LEAST 2016 THROUGH 2021, BNP PARIBAS ("BNPP") FAILED TO CORRECTLY REPORT NUMEROUS SWAP TRANSACTIONS AS REQUIRED BY THE COMMODITY EXCHANGE ACT ("CEA") AND CEA REGULATIONS, AND THAT FROM 2016 THROUGH 2017, BNPP ADJUSTED DAILY MARK… | Final | $6.0M |
| 2020-04-07 | regulatory | FOLLOWING A REVIEW CARRIED OUT BY THE AMF THAT COMMENCED IN JUNE 2018 ON THE MARKETING OF CERTAIN REAL ESTATE AND COMPLEX DEBT FINANCIAL INSTRUMENTS BY BNP PARIBAS, ACTING AS AN INVESTMENT SERVICES PROVIDER, TO RETAIL BANKING CLIENTS IN 2017, THE AMF POINTED OUT CERTAIN DEFAULTS REGARDING (I) THE RE… | Final | $600K |
| 2014-07-09 | criminal | FROM AT LEAST 2004 THROUGH 2012, BNPP KNOWINGLY AND WILLFULLY MOVED OVER $8.8 BILLION THROUGH THE U.S. FINANCIAL SYSTEM ON BEHALF OF SUDANESE, IRANIAN AND CUBAN SANCTIONED ENTITIES, IN VIOLATION OF U.S. ECONOMIC SANCTIONS. BNPP WAIVED INDICTMENT AND AGREED TO BE CHARGED IN A ONE-COUNT CRIMINAL INFOR… | Final | — |
| 2014-06-30 | criminal | FROM AT LEAST 2004 THROUGH 2012, BNPP KNOWINGLY AND WILLFULLY MOVED OVER $8.8 BILLION THROUGH THE U.S. FINANCIAL SYSTEM ON BEHALF OF SUDANESE, IRANIAN AND CUBAN SANCTIONED ENTITIES, IN VIOLATION OF U.S. ECONOMIC SANCTIONS. BNPP WAIVED INDICTMENT AND AGREED TO BE CHARGED IN A TWO-COUNT FELONY SUPERIO… | Final | — |
| 2014-06-30 | regulatory | BNPP IMPLEMENTED POLICIES AND PROCEDURES FOR PROCESSING U.S. DOLLAR-DENOMINATED TRANSFERS THROUGH THE NEW YORK BRANCH AND UNAFFILIATED U.S. FINANCIAL INSTITUTIONS IN A MANNER THAT WAS DESIGNED TO CONCEAL RELEVANT INFORMATION REGARDING SUDAN, IRAN, AND CUBA THAT WOULD PERMIT THE INSTITUTIONS AND THEI… | Final | $3.3B |
| 2014-06-30 | regulatory | THERE HAVE BEEN INVESTIGATIONS INTO THE PRACTICES OF BNPP CONCERNING THE TRANSMISSION OF FUNDS THROUGH THE UNITED STATES ON BEHALF OF OR RELATED TO ENTITIES AND INDIVIDUALS SUBJECT TO SANCTIONS REGIMES IMPOSED UNDER THE INTERNATIONAL EMERGENCY ECONOMIC POWERS ACT, 50 U.S.C. §§ 1701-06, AND THE TRADI… | Final | — |
| 2014-06-30 | regulatory | BNPP LACKED ADEQUATE TRANSPARENCY, RISK MANAGEMENT, AND LEGAL AND COMPLIANCE REVIEW POLICIES AND PROCEDURES TO ENSURE THAT ACTIVITIES CONDUCTED AT OFFICES OUTSIDE OF THE UNITED STATES COMPLIED WITH APPLICABLE OFAC REGULATIONS AND DEVELOPED AND IMPLEMENTED POLICIES AND PROCEDURES FOR PROCESSING CERTA… | Final | $508.0M |
| 2014-06-30 | regulatory | BNPP APPEARS TO HAVE ENGAGED IN A SYSTEMATIC PRACTICE THAT CONCEALED, REMOVED, OMITTED, OR OBSCURED REFERENCES TO, OR THE INTEREST OR INVOLVEMENT OF, SANCTIONED PARTIES IN U.S. DOLLAR SOCIETY FOR SWIFT PAYMENT MESSAGES SENT TO U.S. FINANCIAL INSTITUTIONS. THE SPECIFIC PAYMENT PRACTICES THE BANK UTIL… | Final | $963.6M |