RBC INDIGO ASSET MANAGEMENT INC. of VANCOUVER is an SEC exempt reporting adviser (CRD 161641).
Showing 25 of 43 people.
| Name | Role | Location |
|---|---|---|
| Damon Grant Williams | DIRECTOR | — |
| Elizabeth Leigh Chalmers | DIRECTOR | — |
| Marc Albert Cevey | CHIEF EXECUTIVE OFFICER | — |
| Brian J Bealle | CHIEF OPERATING OFFICER | — |
| James R Huggan | CHIEF INVESTMENT OFFICER | — |
| Lindi E Porter | CHIEF COMPLIANCE OFFICER | — |
| Chandra Kim Stempien | DIRECTOR | — |
| Matthew David Graham | DIRECTOR | — |
| Stephanie Anne Phillips | CHIEF FINANCIAL OFFICER | — |
| HAZELL DEBORAH | DIRECTOR | — |
| HARRIS TRACY ELIZABETH | DIRECTOR | — |
| WILLIAMS DAMON GRANT | DIRECTOR | — |
| GRAHAM CHRISTOPHER DAVID | DIRECTOR | — |
| HASAN RAZA | DIRECTOR | — |
| PARDI MATTEO | DIRECTOR | — |
| NIGRO JERRY ANTHONY | CHIEF COMPLIANCE OFFICER | — |
| palmer timothy james | DIRECTOR | — |
| CEVEY MARC ALBERT | CHIEF EXECUTIVE OFFICER | — |
| BEALLE BRIAN J | CHIEF OPERATING OFFICER | — |
| HUGGAN JAMES R | CHIEF INVESTMENT OFFICER | — |
| BELKZIZ LIWA | CHIEF COMPLIANCE OFFICER | — |
| BAKOS ROBERT WILLIAM | CHIEF FINANCIAL OFFICER | — |
| MIAO LI LI BETTY | DIRECTOR | — |
| MAIA PAULO CEZAR | DIRECTOR | — |
| FUCHS CLAUDIA INGRID | CORPORATE SECRETARY | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-11-02 | regulatory | FAILURE TO MAKE AND KEEP BOOKS, RECORDS, AND ACCOUNTS, WHICH, IN REASONABLE DETAIL, ACCURATELY AND FAIRLY REFLECT THE TRANSACTIONS AND DISPOSITIONS OF THE ASSETS OF THE ISSUER. FAILURE TO DEVISE AND MAINTAIN A SYSTEM OF INTERNAL ACCOUNT CONTROLS SUFFICIENT TO PROVIDE REASONABLE ASSURANCE THAT TRANSA… | Final | $6.0M |
| 2019-08-23 | regulatory | FAILURE TO HAVE SUFFICIENT SUPERVISION AND CONTROLS IN ITS FX TRADING BUSINESS. | Final | $10.3M |
| 2018-11-01 | regulatory | CONSIDERING THE IMPLEMENTATION OF GLOBAL STANDARDS, IN 2014, HSBC GLOBAL ASSET MANAGEMENT (CANADA) LIMITED (AMCA) DETERMINED THAT CERTAIN THIRD PARTY DEALERS (IDENTIFIED DEALERS) NO LONGER ALIGNED WITH ITS OVERALL STRATEGIC FOCUS. IT THEREFORE DECIDED TO TERMINATE THE DEALER AGREEMENT IT HAD WITH TH… | Final | $841K |
| 2012-04-02 | civil | ROYAL BANK OF CANADA IS ALLEGED TO HAVE VIOLATED SECTION 4C(A) OF THE COMMODITY EXCHANGE ACT, AND COMMISSION REGULATION 1.38(A), BY KNOWINGLY ENTERING INTO PURCHASES AND SALES OF SINGLE STOCK FUTURES AND NARROW-BASED INDEX FUTURES CONTRACTS OPPOSITE ITS SUBSIDIARIES WITH THE EXPRESS OR IMPLIED UNDER… | Final | $35.0M |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| RBC INDIGO MORTGAGE FUND | Hedge Fund | Canada | 5,421 | $1.9B | $364 |
| RBC INDIGO MONTHLY INCOME FUND | Hedge Fund | Canada | 16,326 | $1.3B | $364 |
| RBC INDIGO DIVIDEND FUND | Hedge Fund | Canada | 21,072 | $1.1B | $364 |
| RBC INDIGO DIVERSIFIED BALANCED FUND | Hedge Fund | Canada | 22,068 | $825.1M | $364 |
| RBC INDIGO U.S. DOLLAR MONTHLY INCOME FUND | Hedge Fund | Canada | 5,430 | $767.3M | $364 |
| RBC INDIGO CANADIAN BOND FUND | Hedge Fund | Canada | 7,309 | $697.5M | $364 |
| RBC INDIGO CANADIAN MONEY MARKET FUND | Hedge Fund | Canada | 28,856 | $597.4M | $364 |
| RBC INDIGO EQUITY FUND | Hedge Fund | Canada | 7,655 | $582.7M | $364 |
| RBC INDIGO DIVERSIFIED GROWTH FUND | Hedge Fund | Canada | 10,830 | $404.4M | $364 |
| RBC INDIGO GLOBAL EQUITY FUND | Hedge Fund | Canada | 3,584 | $240.5M | $364 |
| RBC INDIGO GLOBAL EQUITY VOLATILITY FOCUSED FUND | Hedge Fund | Canada | 1,084 | $199.3M | $364 |
| RBC INDIGO DIVERSIFIED AGGRESSIVE GROWTH FUND | Hedge Fund | Canada | 3,350 | $123.9M | $364 |
| City | State | Employees | Phone |
|---|---|---|---|
| TORONTO, ONTARIO | — | 1 | 604-331-5003 |
| TORONTO, ONTARIO | — | 1 | 604-331-5003 |