MACKENZIE INVESTMENTS of BOSTON, MA is an SEC-registered investment adviser (CRD 165899). Regulatory assets under management: $18.1B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 45 people.
| Name | Role | Location |
|---|---|---|
| Arup Kumar Datta | SENIOR VICE-PRESIDENT, INVESTMENT MANAGEMENT AND GENERAL MANAGER | Newton, MA |
| Gregory James Fleming | TRUSTEE | Redwood City, CA |
| Paul Guy Desmarais | TRUSTEE | — |
| Gary Albert Doer | TRUSTEE | — |
| Andre Roger Desmarais | TRUSTEE | — |
| Joseph Luke Gregoire Gould | DIRECTOR, PRESIDENT AND CEO | — |
| Rhonda Suzanne Goldberg | DIRECTOR | — |
| Sophie Desmarais | TRUSTEE | — |
| Gillian Eloise Seidler | CHIEF COMPLIANCE OFFICER | — |
| Cynthia Ann Reiter Currie | DIRECTOR | — |
| Steven Gregory Locke | DIRECTOR AND SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | — |
| Keith David Bernard Potter | DIRECTOR, EXECUTIVE VICE-PRESIDENT AND CFO | — |
| Nicholas Lars Westlind | DIRECTOR | — |
| FLEMING GREGORY JAMES | TRUSTEE | — |
| MOORE EDWARD BLAKE | DIRECTOR & EXECUTIVE VICE-PRESIDENT, DISTRIBUTION | — |
| ELAVIA TONY H | DIRECTOR, EXECUTIVE VICE-PRESIDENT & CHIEF INVESTMENT OFFICER | — |
| MERCHAND EDWARD | CHIEF FINANCIAL OFFICER & TREASURER | — |
| DESMARAIS PAUL GUY | SHAREHOLDER; TRUSTEE | — |
| SIMS CHARLES ROBERT | DIRECTOR, PRESIDENT & CHIEF EXECUTIVE OFFICER | — |
| CARNEY JEFFREY ROBERT | DIRECTOR; DIRECTOR, PRESIDENT & CHIEF EXECUTIVE OFFICER | — |
| MCINERNEY BARRY SEAN | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER; DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| BOYLE CHRISTOPHER WILSON JAY | DIRECTOR | — |
| SEN SUBHAS | DIRECTOR | — |
| MOORE BRENT HAROLD | SENIOR VICE-PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| VICKERS DIANA LYNN | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-04-04 | regulatory | THE ONTARIO SECURITIES COMMISSION ALLEGED THAT MACKENZIE FINANCIAL CORPORATION FAILED TO (I) COMPLY WITH NATIONAL INSTRUMENT 81-105 MUTUAL FUND SALES PRACTICES ("NI 81-105") BY NOT MEETING THE MINIMUM STANDARDS OF CONDUCT EXPECTED OF INDUSTRY PARTICIPANTS IN RELATION TO CERTAIN SALES PRACTICES BETWE… | Final | $900K |
| — | regulatory | — | — | — |