RBC GLOBAL ASSET MANAGEMENT (UK) LIMITED of LONDON is an SEC-registered investment adviser (CRD 168551). Regulatory assets under management: $178.0B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos, Other.
Showing 25 of 59 people.
| Name | Role | Location |
|---|---|---|
| Thomas John | CHAIRMAN AND DIRECTOR (NON-EXECUTIVE); DIRECTOR (NON-EXECUTIVE) | Sharon, MA |
| Damon Grant Williams | DIRECTOR (NON-EXECUTIVE) | — |
| Daniel Edward Chornous | DIRECTOR (NON-EXECUTIVE) | — |
| Scott Richard Currin | MONEY LAUNDERING REPORTING OFFICER | — |
| Erich Paul Gerth | CHIEF EXECUTIVE OFFICER AND DIRECTOR | — |
| James Neilson Pettigrew | CHAIRMAN AND DIRECTOR (INDEPENDENT NON-EXECUTIVE) | — |
| Anna Maria Josephine C Bentley | DIRECTOR (INDEPENDENT NON-EXECUTIVE) | — |
| Mark Charles David Dowding | DIRECTOR, CHIEF INVESTMENT OFFICER, FIXED INCOME | — |
| Malena Sofie Ljungkvist | CHIEF RISK OFFICER AND DIRECTOR; DIRECTOR (NON-EXECUTIVE) AND RBC EUROPE CHIEF RISK OFFICER | — |
| Paul Frederick Bromley | CHIEF OPERATING OFFICER | — |
| Anthony David Pickering | HEAD OF BUSINESS DEVELOPMENT | — |
| Peter John Dixon | CHIEF FINANCIAL OFFICER | — |
| Simon Goodwin | CHIEF COMPLIANCE OFFICER | London, X0 |
| Donna Marie Meyers | DIRECTOR (INDEPENDENT NON-EXECUTIVE) | — |
| David John Thomas | DIRECTOR (NON-EXECUTIVE) | — |
| Elizabeth Leigh Chalmers | DIRECTOR (NON-EXECUTIVE) | — |
| DIXON STEVEN JOHN | CHIEF FINANCIAL OFFICER | — |
| DIXON MICHAEL J | CHIEF FINANCIAL OFFICER | — |
| BROWN CLIVE STUART | DIRECTOR/CHIEF EXECUTIVE OFFICER | — |
| WILLIAMS DAMON GRANT | DIRECTOR (NON-EXECUTIVE) | — |
| CHORNOUS DANIEL EDWARD | DIRECTOR; DIRECTOR (NON-EXECUTIVE) | — |
| COOK CHRISTOPHER JOSEPH | DIRECTOR/CHIEF ADMINISTRATIVE OFFICER | — |
| KEYES MELANIE LORRAINE | CHIEF COMPLIANCE OFFICER | — |
| GRAHAM CHRISTOPHER DAVID | DIRECTOR; DIRECTOR/CHIEF OPERATING OFFICER | — |
| PETTIGREW JAMES NEILSON | CHAIRMAN AND DIRECTOR (INDEPENDENT NON-EXECUTIVE) | — |
| 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 |
| 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 |