GMO SINGAPORE PTE. LIMITED of SINGAPORE is an SEC-registered investment adviser (CRD 169321). Regulatory assets under management: $2.1B.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Gregory Lance Pottle | BOARD MEMBER | — |
| Mark Andrew Landis | CHIEF COMPLIANCE OFFICER | — |
| Steven James Beare | BOARD MEMBER | — |
| Zane Antony Bernstein | BOARD MEMBER | — |
| Hwee Leng Tan | BOARD MEMBER | — |
| Ernest Bryon Chew | BOARD MEMBER | — |
| Tara Ann Pari | BOARD MEMBER | — |
| TAN JWEE LENG | BOARD MEMBER | — |
| DIVECHA ARJUN | BOARD MEMBER | — |
| COOPER THOMAS FRANKLIN | BOARD MEMBER | — |
| KITTREDGE JOSEPH BARKER | BOARD MEMBER | — |
| MITTAZ JEAN-PIERRE | BOARD MEMBER | — |
| HALEY CAROLYN P | BOARD MEMBER | — |
| MUELLER URBAN CARL | BOARD MEMBER | — |
| POTTLE GREGORY LANCE | BOARD MEMBER; CHAIRMAN OF THE BOARD OF DIRECTORS | — |
| LANDIS MARK | CHIEF COMPLIANCE OFFICER | — |
| BEARE STEVEN JAMES | BOARD MEMBER | — |
| BHARTIA AMIT RAMESH | BOARD MEMBER | — |
| HOWARD GLEN ANTHONY | MANAGING DIRECTOR; BOARD MEMBER | — |
| GOLL JONATHAN | BOARD MEMBER | — |
| LANDIS MARK ANDREW | CHIEF COMPLIANCE OFFICER | — |
| BERNSTEIN ZANE ANTONY | BOARD MEMBER | — |
| CHEW ERNEST BRYON | BOARD MEMBER | — |
| Pari Tara Ann | BOARD MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-08-11 | regulatory | IN MARCH 2023, DUE TO A TECHNICAL ISSUE WITH A THIRD-PARTY SERVICE PROVIDER, GMO MADE A LATE FILING OF A ROUTINE SHAREHOLDER HOLDINGS DISCLOSURE REPORT REQUIRED UNDER INDIAN REGULATIONS. PURSUANT TO CUSTOMARY MARKET PRACTICE, GMO ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE BOARD OF IN… | Final | $12K |
| 2019-12-19 | regulatory | IN JULY 2019, ACCOUNTS MANAGED BY GRANTHAM, MAYO, VAN OTTERLOO & CO. LLC ("GMO LLC") TEMPORARILY HELD POSITIONS IN LEAN HOG FUTURES CONTRACTS IN EXCESS OF THE POSITION LIMITS ESTABLISHED BY THE CHICAGO MERCANTILE EXCHANGE ("CME") FOR SUCH CONTRACTS. WHILE THE OVERAGE WAS RELATIVELY SMALL AND PROMPTL… | Final | $15K |