BLACKROCK ASSET MANAGEMENT CANADA LIMITED / GESTION D'ACTIFS BLK of TORONTO is an SEC exempt reporting adviser (CRD 162262).
Showing 25 of 33 people.
| Name | Role | Location |
|---|---|---|
| Greenberg Jay | CHIEF FINANCIAL OFFICER | New York, NY |
| Marcia Tilla Moffat | CHIEF EXECUTIVE OFFICER; DIRECTOR | — |
| Stephanie Genois | DIRECTOR; MANAGING DIRECTOR | — |
| Lauren Bradley | CHIEF FINANCIAL OFFICER | — |
| Geoffrey Ernest John Grove | CHIEF COMPLIANCE OFFICER | — |
| Tracey J Grant | DIRECTOR | — |
| Helen Victoria Hayes | DIRECTOR | — |
| Steven Kuen Leong | DIRECTOR | — |
| COLLIER WARREN VEASY | DIRECTOR | — |
| PERRY KEVIN NMN | CHIEF FINANCIAL OFFICER | — |
| LEVEILLE CLAUDE NMN | DIRECTOR | — |
| COMERCHERO MARC DAVID | CHIEF FINANCIAL OFFICER | — |
| WANIE LEE GORDON JULIAN | DIRECTOR | — |
| ARCHARD NOEL CHRISTIAN | CHIEF EXECUTIVE OFFICER; DIRECTOR | — |
| MCINTYRE ELEANOR MARY | CHIEF EXECUTIVE OFFICER; CHIEF OPERATING OFFICER | — |
| DUONG CATRINA NMN | CHIEF COMPLIANCE OFFICER | — |
| GUNAWAN MARGARET I | CHIEF COMPLIANCE OFFICER; CHIEF LEGAL OFFICER | — |
| MOFFAT MARCIA TILLA | CHIEF EXECUTIVE OFFICER; DIRECTOR | — |
| WILEY MARY ANNE | DIRECTOR | — |
| LEVEILLE ERIC | DIRECTOR | — |
| CHAN DANNY MING HAN | CHIEF COMPLIANCE OFFICER; CHIEF LEGAL OFFICER | — |
| CHINERY WILLIAM FRANK | CHIEF COMPLIANCE OFFICER; CHIEF EXECUTIVE OFFICER; DIRECTOR | — |
| DUONG CATRINA | CHIEF COMPLIANCE OFFICER | — |
| PATHAK SAURABH P | CHIEF FINANCIAL OFFICER | — |
| DALY MICHELLE | CHIEF FINANCIAL OFFICER | — |
Showing 10 of 20 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-01-09 | regulatory | ON JANUARY 9, 2025, THE COMISIÓN NACIONAL BANCARIA Y DE VALORES ("CNBV") IMPOSED A FINE OF APPROXIMATELY $123,000 USD (MNX $2,501,720) REGARDING THE ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING PROGRAM AT BLACKROCK'S MEXICO CITY OFFICE. SPECIFICALLY, THE CNBV FOUND THAT BLACKROCK MEXICO DID… | Final | $123K |
| 2025-01-09 | regulatory | ON JANUARY 9, 2025, THE COMISION NACIONAL BANCARIA Y DE VALORES ("CNBV") IMPOSED A FINE OF APPROXIMATELY $123,000 USD (MNX $2,501,720) REGARDING THE ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING PROGRAM AT BLACKROCK'S MEXICO CITY OFFICE. SPECIFICALLY, THE CNBV FOUND THAT BLACKROCK MEXICO DID… | Final | $123K |
| 2024-11-27 | civil | ON NOVEMBER 27, 2024, TEXAS ATTORNEY GENERAL KEN PAXTON AND ATTORNEYS GENERAL FROM 10 OTHER STATES (ALABAMA, ARKANSAS, INDIANA, IOWA, KANSAS, MISSOURI, MONTANA, NEBRASKA, WEST VIRGINIA, AND WYOMING) FILED A COMPLAINT AGAINST BLACKROCK, VANGUARD, AND STATE STREET (THE "MANAGERS") ALLEGING THAT THE MA… | Pending | — |
| 2024-08-22 | regulatory | ON AUGUST 22, 2024, THE INDIANA SECURITIES COMMISSIONER (THE "COMMISSIONER") ISSUED A CEASE AND DESIST ORDER (THE "ORDER") AGAINST BLACKROCK, INC. AND SEVERAL OF ITS ADVISORY AFFILIATES, (COLLECTIVELY, "BLACKROCK"). THE ORDER ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS ABOUT HOW WE MANAGE… | Pending | — |
| 2024-03-27 | regulatory | ON MARCH 27, 2024, BLACKROCK, INC., BLACKROCK INVESTMENTS, LLC, BLACKROCK ADVISORS, LLC, BLACKROCK FUND ADVISORS, AND ISHARES TRUST (COLLECTIVELY, "BLACKROCK") WERE SERVED WITH A SUMMARY CEASE AND DESIST ORDER AND NOTICE OF INTENT TO IMPOSE ADMINISTRATIVE PENALTY FROM THE MISSISSIPPI SECRETARY OF ST… | Pending | — |
| 2023-12-18 | civil | ON DECEMBER 18, 2023, THE TENNESSEE ATTORNEY GENERAL ("AG") SUED BLACKROCK, INC. IN TENNESSEE STATE COURT FOR ALLEGED VIOLATIONS OF TENNESSEE'S CONSUMER PROTECTION STATUTE IN CONNECTION WITH OUR ESG PRACTICES. THE COMPLAINT GENERALLY ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS IN FUND PROS… | Final | — |
| 2023-06-06 | regulatory | FAILURE TO COMPLY WITH CERTAIN REGULATIONS APPLICABLE TO THE MANAGEMENT OF MUTUAL FUNDS AND THE PROVISION OF INVESTMENT ADVISORY SERVICES IN BLACKROCK'S MEXICO CITY OFFICE. | Final | $164K |
| 2021-12-20 | regulatory | ACCORDING TO THE SEC ORDER, GIM (I) DID NOT OFFSET FROM APPLICABLE MANAGEMENT FEES ELIGIBLE FEES PAID TO IT BY A FUND PORTFOLIO COMPANY, (II) DID NOT OFFSET FROM APPLICABLE MANAGEMENT FEES THE FULL AMOUNT IT OWED A FUND'S LIMITED PARTNERS IN CONNECTION WITH ELIGIBLE FEES IT COLLECTED FROM A FUND POR… | Final | $4.5M |
| 2021-07-19 | regulatory | ON DATES IN 2017 AND IN 2018, BLACKROCK, INC. WAS LATE IN MAKING CERTAIN THRESHOLD FILINGS WITH THE SWISS REGULATOR. THESE LATE FILINGS WERE CAUSED BY TWO SEPARATE ISSUES: (1) INCORRECT SHARE ISSUE INFORMATION PROVIDED TO BLACKROCK BY ITS THIRD PARTY VENDOR; AND, (2) BLACKROCK'S OUTGOING EMAIL QUARA… | Final | $50K |
| 2021-01-22 | regulatory | THE CME CONCLUDED THAT BLACKROCK VIOLATED CHICAGO BOARD OF TRADE (CBOT) RULE 562, WHICH PROHIBITS FIRMS FROM HOLDING POSITIONS ON THE CME LARGER THAN THE LIMITS PROSCRIBED BY CME RULES. | Final | $120K |
Private Equity Fund: 1 · Other Private Fund: 1
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| GLOBAL CREDIT OPPORTUNITIES (CANADA) L.P. | Private Equity Fund | Canada | 3 | $490.0M | — |
| MASTER ASSET VEHICLE III | Other Private Fund | Canada | 0 | — | — |