EASTSPRING US of CHICAGO, IL is an SEC-registered investment adviser (CRD 169439).
Compensation: Other.
Clients served: Pensions, Other.
| Name | Role | Location |
|---|---|---|
| David Andrew Muckley | CCO / HEAD - COMPLIANCE, LEGAL AND GOVERNANCE; CCO; HEAD - COMPLIANCE, LEGAL AND GOVERNANCE | — |
| Salman Haider | DIRECTOR | — |
| Craig Scott Mauri | DIRECTOR; HEAD OF AMERICAS; PRESIDENT | — |
| Matthew J Appelstein | DIRECTOR, CHIEF EXECUTIVE OFFICER | — |
| MEYER JAMES MAURICE | DIRECTOR AND CHAIRMAN | — |
| MANDICH MARK BERNARD | DIRECTOR | — |
| APPELSTEIN MATTHEW J | DIRECTOR, CHIEF EXECUTIVE OFFICER | — |
| MEIKEL BRIAN WILLIAM | CHIEF COMPLIANCE OFFICER | — |
| GUSTAFSON KEVIN RICHARD | DIRECTOR OF LEGAL AND COMPLIANCE; SECRETARY; CHIEF COMPLIANCE OFFICER | — |
| DILLON BRIAN CHRISTOPHER | INTERIM CHIEF COMPLIANCE OFFICER | — |
| BANG MICHELE MI-KYUNG | DIRECTOR; DIRECTOR AND CHAIRMAN | — |
| SMITH JEFFREY WILLIS | CHIEF EXECUTIVE OFFICE AND PRESIDENT; CHIEF EXECUTIVE OFFICE AND PRESIDENT, DIRECTOR | — |
| STOCKWELL PHILIP JAMES | DIRECTOR AND CHAIRMAN | — |
| GOH JAYMZ MING HE | CHIEF COMPLIANCE OFFICER | — |
| MUCKLEY DAVID ANDREW | CCO / HEAD - COMPLIANCE, LEGAL AND GOVERNANCE | — |
| Pearson Simon Baxter | DIRECTOR | — |
| FERRAZ GEORGE MANUEL | CHAIRMAN | — |
| HAIDER SALMAN | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-04-05 | regulatory | THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY ("FSAN") ALLEGED THAT AFTER PRUDENTIAL PLC ACQUIRED SHARES IN STOREBRAND ASA, IT CROSSED A 5% REPORTING THRESHOLD AND DID NOT IMMEDIATELY NOTIFY THE ISSUER AND THE FSAN, AS REQUIRED BY NORWEGIAN SECURITIES TRADING ACT SECTION 4-3. | Final | $12K |