FIRST SENTIER INVESTORS (US) LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 170739). Regulatory assets under management: $968.6M.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 29 people.
| Name | Role | Location |
|---|---|---|
| Kevin Andrew Mcguire | HEAD OF LEGAL | — |
| Bachar Beaini | MANAGING DIRECTOR AND DIRECTOR | — |
| Kenjiro Muramatsu | HEAD OF US GOVERNANCE/DIRECTOR | — |
| Jeffrey Edwin Schmidt | CHIEF COMPLIANCE OFFICER | — |
| Noel Anthony O'Brien | DEPUTY CFO/DIRECTOR | — |
| Takeshige Ota | DIRECTOR | — |
| James Thomas Fisher | DIRECTOR | — |
| JOHNSON JOHN MICHAEL | HEAD OF US FIXED INCOME AND DIRECTOR | — |
| RICK SAMANTHA | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND DIRECTOR | — |
| JOHNSON JENNIE M | HEAD OF US FIXED INCOME AND DIRECTOR | — |
| PEARSE MARY ITA | CHIEF FINANCIAL OFFICER | — |
| FISHER SCOTT THOMAS | DIRECTOR | — |
| BREYLEY JAMES BRAUNTON | CHIEF FINANCIAL OFFICER AND DIRECTOR | — |
| TWISS JAMES SPENIER | MANAGING DIRECTOR AND DIRECTOR | — |
| CUMMINS ANDREW MICHAEL | CHIEF OPERATING OFFICER AND DIRECTOR | — |
| PLUM ANDREW GREGORY | CHIEF FINANCIAL OFFICER AND DIRECTOR; DIRECTOR | — |
| TWISS JAMES SPENCER | MANAGING DIRECTOR AND DIRECTOR | — |
| MCGUIRE KEVIN ANDREW | HEAD OF LEGAL | — |
| Brilliant Heather | MANAGING DIRECTOR | — |
| Evans Suzanne Clare | CHIEF FINANCIAL OFFICER | — |
| salter shayne daniel | DIRECTOR | — |
| taguchi junichiro | DIRECTOR | — |
| Beaini Bachar | ACTING MANAGING DIRECTOR; MANAGING DIRECTOR AND DIRECTOR | — |
| Muramatsu Kenjiro | HEAD OF US GOVERNANCE/DIRECTOR | — |
| Ueno Yoshiki | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-06-06 | regulatory | ON JUNE 6, 2019, SWITZERLAND'S COMPETITION COMMISSION (THE "COMPETITION COMMISSION") CONCLUDED AMICABLE SETTLEMENTS WITH SEVERAL BANKS, INCLUDING AFFILIATE MUFG BANK LTD. ("MUFG BANK"), AND FINED THE BANKS FOR PARTICIPATING IN ANTI-COMPETITIVE ARRANGEMENTS IN FOREIGN EXCHANGE SPOT TRADING. THE COMPE… | Final | $1.5M |
| 2019-05-16 | regulatory | ON MAY 16, 2019, THE EUROPEAN COMMISSION (THE "COMMISSION") IN A SETTLEMENT DECISION FINED AFFILIATE MUFG BANK LTD. ("MUFG BANK") ALONG WITH SEVERAL OTHER BANKS FOR VIOLATING EUROPEAN UNION ANTITRUST RULES IN CONNECTION WITH TRADING IN THE SPOT FOREIGN EXCHANGE MARKET FOR 11 CURRENCIES. THE COMMISSI… | Final | $77.9M |
| 2019-02-22 | regulatory | THE OCC ISSUED ON FEBRUARY 22, 2019 A CEASE AND DESIST ORDER AGAINST THE NEW YORK (PRIMARY), CHICAGO, AND LOS ANGELES FEDERAL BRANCHES OF THE FIRM'S AFFILIATE, MUFG BANK, LTD., TOKYO, JAPAN, FOR VIOLATING THE BANK SECRECY ACT (BSA) AND ITS UNDERLYING REGULATIONS. THE OCC FOUND THE BRANCHES' BSA COMP… | Final | — |
| 2017-11-08 | civil | FOLLOWING AFFILIATE MUFG BANK'S CONVERSION OF ITS STATE BANKING LICENSES ISSUED BY THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ("DFS") TO FEDERAL BANKING LICENSES ISSUED BY THE OFFICE OF THE COMPTROLLER OF THE CURRENCY IN NOVEMBER 2017, DFS ISSUED AN ORDER ASSERTING CONTINUING REGULATORY AUT… | Final | $33.0M |
| 2017-02-09 | regulatory | THE PRUDENTIAL REGULATION AUTHORITY ("PRA") IMPOSED A FINE OF 17.85M POUNDS ON MUFG AND A FINE OF 8.925M POUNDS ON MUFG SECURITIES EMEA PLC FOR FAILING TO BE OPEN AND COOPERATIVE WITH THE PRA IN RELATION TO AN ENFORCEMENT ACTION ON MUFG BY THE NEW YORK DEPARTMENT OF FINANCIAL SERVICES. | Final | $10.8M |
| 2015-02-19 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS OR CONCLUSIONS IN THE ORDER, MUFG CONSENTED TO THE ENTRY OF THE ORDER WHICH FOUND THAT FROM AT LEAST JULY 2009 TO DECEMBER 2014, MUFG, BY AND THROUGH ONE OF ITS TRADERS LOCATED IN JAPAN, ENGAGED IN THE DISRUPTIVE TRADING PRACTICE OF "SPOOFING" VARIOUS FUTURE… | Final | $600K |
| 2014-11-18 | regulatory | MUFG WRONGFULLY MISLED THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES (DFS) IN CONNECTION WITH ITS UNDERSTANDING OF MUFG'S U.S. DOLLAR CLEARING SERVICES ON BEHALF OF SANCTIONED SUNDANESE, IRANIAN AND BURMESE PARTIES. UNDER THE TERMS OF THE AGREEMENT WITH DFS, MUFG HAS MADE A PAYMENT OF US$315 M… | Final | $315.0M |