# BARINGS AUSTRALIA PTY LTD

BARINGS AUSTRALIA PTY LTD of SYDNEY is an SEC exempt reporting adviser.

## Registration

- CRD: 169697
- Type: SEC exempt reporting adviser
- SEC file number: 802-80559
- Location: LEVEL 19, SUITE 19.02, 60 CASTLEREAGH STREET, SYDNEY, 02000
- Phone: 612 9000 2117
- Latest filing: 2026-03-30

## Officers, owners & control persons (23)

| Name | Role | Location |
| --- | --- | --- |
| [Amanda Jane Hough](https://search.stillhousedata.com/person/694980) | SECRETARY | — |
| [Justin Ryan Hooley](https://search.stillhousedata.com/person/694981) | DIRECTOR | — |
| [Duncan Jeffrey Robertson](https://search.stillhousedata.com/person/694982) | DIRECTOR | — |
| [Michael Evin Gaffney](https://search.stillhousedata.com/person/694983) | DIRECTOR | — |
| [Penny Maree Sarantis](https://search.stillhousedata.com/person/694984) | SECRETARY | — |
| [MOORE SUSAN ANN](https://search.stillhousedata.com/person/774681) | DIRECTOR | — |
| [DEFRANCIS CHRISTOPHER ANTHONY](https://search.stillhousedata.com/person/774682) | DIRECTOR | — |
| [GOULD ANDREW MA](https://search.stillhousedata.com/person/827851) | SECRETARY | — |
| [ROBERTSON IAN DUNCAN](https://search.stillhousedata.com/person/828807) | DIRECTOR | — |
| [LLOYD ERIC JAMES](https://search.stillhousedata.com/person/830974) | CHAIRMAN AND DIRECTOR | — |
| [WHEELER ADAM HUGH](https://search.stillhousedata.com/person/886364) | DIRECTOR; DIRECTOR AND PUBLIC OFFICER; DIRECTOR AND PUBLIC OFFICER/RESPONSIBLE MANAGER | — |
| [PRIMO A MICHAEL](https://search.stillhousedata.com/person/894108) | SECRETARY | — |
| [HOUGH AMANDA JANE](https://search.stillhousedata.com/person/894109) | SECRETARY | — |
| [MILLIN JON](https://search.stillhousedata.com/person/894110) | DIRECTOR; DIRECTOR AND PUBLIC OFFICER | — |
| [ROBERTSON DUNCAN JEFFREY](https://search.stillhousedata.com/person/898158) | CHAIRMAN; CHAIRMAN AND DIRECTOR; DIRECTOR | — |
| [PRIMO MICHAEL SEAN](https://search.stillhousedata.com/person/901452) | SECRETARY | — |
| [UECKER BRADLEY ALLEN](https://search.stillhousedata.com/person/901453) | DIRECTOR | — |
| [Hooley Justin](https://search.stillhousedata.com/person/905499) | DIRECTOR | — |
| [Young Fiona Tin Yau](https://search.stillhousedata.com/person/905500) | SECRETARY | — |
| [HOOLEY JUSTIN RYAN](https://search.stillhousedata.com/person/906404) | DIRECTOR | — |
| [MILLIN JONANTHON](https://search.stillhousedata.com/person/907103) | DIRECTOR | — |
| [Alastair John Dilworth Wright](https://search.stillhousedata.com/person/1022771) | DIRECTOR | — |
| [Olivia Harrison Burgess](https://search.stillhousedata.com/person/1022772) | COMPLIANCE OFFICER | — |


## Disclosures (14)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2024-03-31 | regulatory | IT WAS ALLEGED THAT MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY'S PRACTICES AND PROCEDURES DID NOT COMPLY WITH STATUTORY AND REGULATORY PROVISIONS: 18 DEL ADMIN. C.?1203-4.0 LIFE INSURANCE SOLICITATION DEFINITIONS; 18 DEL. ADMIN C. ?1204-5.2 DUTIES OF AGENTS AND BROKERS; 18 DEL. C. ?1204.7.1 DUTIES… | Final | $134K |
| 2022-05-26 | regulatory | MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY MUST CERTIFY ANNUALLY TO THE OFFICE OF THE INSURANCE COMMISSIONER ("OIC") THE INSURANCE PRODUCERS THAT ARE SELLING, SOLICITING OR NEGOTIATING THE COMPANY'S LONG TERM CARE ("LTC") INSURANCE PRODUCTS HAVE COMPLETED LTC REQUIREMENTS. THE CERTIFICATION IS REQU… | Final | $10K |
| 2022-04-12 | regulatory | IN 2003 THE INSURED PURCHASED A FLEXIBLE PREMIUM ADJUSTABLE LIFE INSURANCE POLICY WITH A FACE AMOUNT $500,000. IT WAS ALLEGED THAT MASSMUTUAL RAISED THE PREMIUMS AND CHANGED AND CANCELLED THE POLICY WITHOUT NOTIFYING THE INSURED. THE INSURED FURTHER ALLEDGED THAT THE AGENT DID NOT EXPLAIN THAT THE P… | Final | $1K |
| 2017-10-03 | regulatory | THE STATE OF CONNECTICUT INSURANCE DEPARTMENT CONDUCTED A MARKET CONDUCT EXAMINATION FOR THE PERIOD JANUARY 1, 2014 THROUGH DECEMBER 31, 2016 OF MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ("MASSMUTUAL"). MASSMUTUAL IS THE PARENT OF MML INVESTMENT ADVISERS, LLC. AT THE CONCLUSION OF THE EXAMINATION,… | Final | $61K |
| 2013-10-17 | regulatory | HUD ALLEGED THAT MASSMUTUAL FAILED TO SUBMIT (1) AUDITED FINANCIAL STATEMENTS AND SUPPLEMENTARY REPORTS; (2) THE ANNUAL RECERTIFICATION FEE; (3) THE CALL REPORTS; AND (4) THE ONLINE CERTIFICATION (COLLECTIVELY "ANNUAL RECERTIFICATION REQUIREMENTS") WITHIN 90 DAYS OF THE CLOSED OF ITS FISCAL YEAR END… | Final | $8K |
| 2012-04-20 | regulatory | THE COMMONWEALTH OF VIRGINIA, BUREAU OF INSURANCE (THE "BUREAU") ALLEGED THAT MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ("MASSMUTUAL") VIOLATED SUBSECTIONS 38.2-502(1) AND 38.2-503-(1) AND 14 VAC 5-40-40(A)(1) AND (A)(4), MARKETING COMMUNICATION STANDARDS AND REQUIREMENTS OF THE COMMONWEALTH OF VI… | Final | $4K |
| 2012-01-01 | regulatory | THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ("DFS") COMMENCED AN INVESTIGATION FOR THE PERIOD OF 1/1/2012-5/31/2018. DURING ITS INVESTIGATION, DFS IDENTIFIED A PRACTICE ARISING FROM THE REPLACEMENT OF DEFERRED ANNUITY CONTRACTS WITH IMMEDIATE INCOME ANNUITY CONTRACTS IN VIOLATION OF THE DISC… | Final | $692K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/169697/brochure
- Similar advisers: https://search.stillhousedata.com/firm/169697/similar
- Related entities: https://search.stillhousedata.com/firm/169697/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/169697

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.