DEGROOF PETERCAM ASSET MANAGEMENT of BRUSSELS is an SEC-registered investment adviser (CRD 166048). Regulatory assets under management: $16.9B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
Showing 25 of 92 people.
| Name | Role | Location |
|---|---|---|
| Hugo Rudi Lasat | DIRECTOR - CHAIRMAN OF THE BOARD OF DIRECTORS | — |
| Peter De Coensel | DIRECTOR - CHAIRMAN OF THE MANAGEMENT BOARD | — |
| Tomas Murillo Rodriguez | DIRECTOR | — |
| Jean-Baptiste Christian De Franssu | DIRECTOR | — |
| Caroline Charlotte Tubeuf | DIRECTOR - CHIEF LEGAL OFFICER | — |
| Laurent Martin De Meyere | DIRECTOR | — |
| Johan Frans Van Geeteruyen | DIRECTOR | — |
| Veronique Catherine Jeannot | DIRECTOR | — |
| Jean-Michel Loehr | DIRECTOR | — |
| Yves Ceelen | DIRECTOR | — |
| Jeroen Sioncke | DIRECTOR | — |
| Serge Hote | CHIEF COMPLIANCE OFFICER | — |
| Sylvie Huret | DIRECTOR; DIRECTOR - CHAIRWOMAN OF THE BOARD OF DIRECTORS | — |
| Frank Van Bellingen | DIRECTOR | — |
| Sabine Caudron | DIRECTOR | — |
| Frederiek Van Holle | DIRECTOR | — |
| Sam Vereecke | DIRECTOR | — |
| Olivier Georges Carcy | DIRECTOR | — |
| Mathieu FranOis Ferragut | DIRECTOR | — |
| DUPLICATE RECORD DO NOT USE | PARTNER/HEAD OF IAM SALES & MARKETING | — |
| DE SOUMAGNAT PHILIPPE | PARTNER/BOARD OF DIRECTORS | — |
| VAN CAMPENHOUT XAVIER | CHIEF EXECUTIVE OFFICER/PARTNER/CHAIRMAN OF THE MANAGEMENT BOARD/BOARD OF DIRECTORS | — |
| HURET SYLVIE | CHIEF FINANCIAL OFFICER/MEMBER OF THE MANAGEMENT BOARD/PARTNER/BOARD OF DIRECTORS; DIRECTOR | — |
| LASAT HUGO | MEMBER OF MANAGEMENT BOARD/BOARD OF DIRECTORS; MEMBER OF MANAGEMENT BOARD/PARTNER/BOARD OF DIRECTORS | — |
| MINNE PASCAL | PARTNER/BOARD OF DIRECTORS | — |
Showing 10 of 19 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-12-18 | regulatory | FAILURE TO NOTIFY SUSPICIOUS TRANSACTIONS FOR PERIOD 01/01/2015 TO 06/25/2015 INFRINGEMENT OF THE REGULATION RELATED TO THE MARKET ABUSE. | Final | $413K |
| 2019-10-14 | regulatory | DISSEMINATION OF AN ADVERTISEMENT WITHOUT PRIOR AUTHORIZATION FROM THE REGULATOR | Final | — |
| 2019-06-25 | regulatory | ALLEGED BREACH OF CERTAIN MIFID RULES GAPS IN THE CONSIDERATION OF CUSTOMER KNOWLEDGE FOR THE ASSESSMENT OF SUITABILITY TEST, CONSIDERATION OF CERTAIN OUTDATED PROFILES | Final | $944K |
| 2018-12-20 | regulatory | THE EUROPEAN COMMISSION ANNOUNCED ON DECEMBER 20, 2018 THAT IT REACHED A PRELIMINARY VIEW THAT CERTAIN BANKS HAVE BREACHED EU ANTITRUST RULES. THE ALLEGATIONS RELATE TO THE TRADING OF USD-DENOMINATED SOVEREIGN, SUPRA-SOVEREIGN, AND AGENCY ("SSA") BONDS ON THE SECONDARY MARKET BETWEEN JANUARY 2013 AN… | On Appeal | $4.8M |
| 2018-07-16 | regulatory | THIS PENALTY WAS IMPOSED FOR BREACH OF THE PROCEDURE LAID DOWN IN ARTICLE 26(3) OF REGULATION (EU)NO 575/2013 OF THE EUROPEAN PARLIAMENT BY CLASSIFYING CAPITAL INSTRUMENTS AS COMMON EQUITY TIER 1 INSTRUMENTS DURING THREE (FIVE FOR CASA) CONSECUTIVE QUARTERLY REPORTING PERIODS AND TWO (THREE FOR CASA… | Final | $4.6M |
| 2018-01-02 | regulatory | CFM COLLECTED ACCOUNT HOLDERS' KYC DATA, INCLUDING ADDRESS INFORMATION THAT INDICATES THE LOCATION OF THE ACCOUNT HOLDER(S). DESPITE HAVING SUCH INFORMATION, FROM DECEMBER 2011 UNTIL JULY 2016, CFM ALLOWED CUSTOMERS LOCATED IN THESE SANCTIONED JURISDICTIONS TO PURCHASE SECURITIES ISSUED BY U.S. COMP… | Final | $401K |
| 2018-01-02 | regulatory | CAIS COLLECTS ACCOUNT HOLDERS' KYC DATA, INCLUDING ADDRESS INFORMATION THAT INDICATES THE LOCATION OF THE ACCOUNT HOLDER(S). DESPITE HAVING SUCH INFORMATION, FROM APRIL 2013 TO APRIL 2016, CAIS ALLOWED CUSTOMERS LOCATED IN THESE SANCTIONED JURISDICTIONS TO PURCHASE SECURITIES ISSUED BY U.S. COMPANIE… | Final | $720K |
| 2017-10-11 | regulatory | SPOOFING AND MARKET MANIPULATION IN CARRYING OUT LIQUIDITY PROVIDING ACTIVITIES | Final | $110K |
| 2015-10-19 | regulatory | CREDIT AGRICOLE S.A. (CASA) AND ITS SUBSIDIARY CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK (CACIB) HAVE REACHED AGREEMENTS WITH THE U.S. AND NEW YORK AUTHORITIES THAT HAVE BEEN CONDUCTING INVESTIGATIONS REGARDING U.S. DOLLAR TRANSACTIONS BETWEEN 2003 AND 2008 SUBJECT TO U.S. ECONOMIC SANCTIONS AND… | Final | $787.3M |
| 2015-09-21 | civil | ALLEGED BREACH TO THE PUBLIC OFFERING LEGISLATION - MISLEADING INFORMATION OF THE MEMORANDUM OF INFORMATION - EQUAL TREATMENT OF THE SHAREHOLDERS | Pending | — |