WELLINGTON MANAGEMENT JAPAN PTE. LTD. of TOKYO is an SEC-registered investment adviser (CRD 165192). Regulatory assets under management: $17.7B.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
Showing 25 of 47 people.
| Name | Role | Location |
|---|---|---|
| Kar On Karen Au | CHIEF COMPLIANCE OFFICER | — |
| Elizabeth Menai Chisholm | DIRECTOR | — |
| Janet Anandhi Perumal | DIRECTOR | — |
| David Keith Eikenberry | DIRECTOR | — |
| Scott Matthew Lopez | DIRECTOR | — |
| Daire Timothy Dunne | DIRECTOR | — |
| Desmond Anthony Havlicek | DIRECTOR | — |
| Charles John Mulhern | DIRECTOR | — |
| Nataliya Kofman | DIRECTOR | — |
| Pui San Shim | DIRECTOR | — |
| Hoi Yee Karen Tang | DIRECTOR | — |
| JORDY MARK DOUGLAS | DIRECTOR | — |
| CLARKE CYNTHIA MARY | DIRECTOR | — |
| STEINBORN EDWARD JOSEPH | DIRECTOR | — |
| STONE GRAHAM WILLIAM ALEXANDER | CHIEF COMPLIANCE OFFICER | — |
| BOUDENS MICHAEL JOHN | DIRECTOR | — |
| ARGYLE CHARLES SEAN | DIRECTOR | — |
| CARON PAUL | DIRECTOR | — |
| BURGESS JEFFREY MICHAEL | DIRECTOR | — |
| KLAR STEPHEN | DIRECTOR | — |
| HELFER RAY EUGENE | DIRECTOR | — |
| DUCKWORTH CHERYL MCDANIEL | DIRECTOR | — |
| EMMINS CHRISTOPHER WILLIAM | DIRECTOR | — |
| FREIHEIT AISLING MARY | DIRECTOR | — |
| SHERMAN SARA LOU | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-08-12 | regulatory | THE GERMAN FEDERAL FINANCIAL SUPERVISORY AUTHORITY ("BAFIN") SANCTIONED WELLINGTON MANAGEMENT IN RELATION TO THREE INDIVIDUAL ADMINISTRATIVE BREACHES OF LARGE SHAREHOLDER DISCLOSURE REQUIREMENTS. THE BREACHES RELATE TO EVENTS WHICH OCCURRED IN 2016, 2018 AND 2019 RESPECTIVELY. | Final | $183K |
| 2018-06-19 | regulatory | THE FDF ALLEGED THAT WELLINGTON HAD NOT PROVIDED AN ADDITIONAL TABLE THAT PROVIDES A BREAKDOWN OF SHARES AMONG OUR CLIENT ACCOUNTS WITH SIX LARGE SHAREHOLDER DISCLOSURE FILINGS MADE IN 2016 AND 2017 IN ACCORDANCE WITH ART. 151 IN RELATION WITH ART. 120 OF THE FEDERAL ACT ON FINANCIAL MARKET INFRASTR… | Final | $36K |
| 2016-09-20 | regulatory | THE FDF ALLEGED THAT WELLINGTON HAD NOT FILED, WITHIN THE SPECIFIED TIME PERIOD, REPORTS THAT ITS COLLECTIVE OWNERSHIP OF A SWISS SECURITY CROSSED AN OWNERSHIP THRESHOLD. | Final | $7K |