JPMORGAN FUNDS LIMITED of LONDON is an SEC-registered investment adviser (CRD 172045). Regulatory assets under management: $72.4B.
Compensation: % of AUM, Performance.
Clients served: Charities, Investment cos.
Showing 25 of 41 people.
| Name | Role | Location |
|---|---|---|
| Malcolm Smith | DIRECTOR | Fort Worth, TX |
| Paul Farrell | DIRECTOR | Tucson, AZ |
| Richard Nmn Stuart-Reckling | CHIEF COMPLIANCE OFFICER | — |
| Katie Jones | INDEPENDENT NON-EXECUTIVE DIRECTOR / CHAIRMAN | — |
| Nicholas John Croager Bloxham | DIRECTOR | — |
| Jeroen Fastenaekels | CHIEF LEGAL OFFICER | — |
| James Reeves | CHIEF EXECUTIVE OFFICER/DIRECTOR | — |
| Karen Frances Prooth | INDEPENDENT NON-EXECUTIVE DIRECTOR | — |
| Joni Ruokonen | CHIEF FINANCIAL OFFICER | — |
| Stephen Edward Pond | CHIEF FINANCIAL OFFICER | — |
| Arthur Mark Ruston Smith | INDEPENDENT NON-EXECUTIVE DIRECTOR | — |
| O'Brien Ezekial Bennett | DIRECTOR | — |
| LEWIS ERIC MICHAEL | DIRECTOR; DIRECTOR/CHIEF EXECUTIVE OFFICER | — |
| O'BRIEN TIMOTHY WILLIAM JOHN | DIRECTOR/CHIEF EXECUTIVE OFFICER; DIRECTOR/CHIEF EXECUTIVE OFFICER/MANAGING DIRECTOR | — |
| WHITE JONATHAN PR | HEAD OF LEGAL/MANAGING DIRECTOR | — |
| ROBERTS WILLIAM | DIRECTOR / CFO; DIRECTOR / CFO/MANAGING DIRECTOR | — |
| SCHWICHT PETER | DIRECTOR / CHIEF EXECUTIVE OFFICER | — |
| WATKINS DANIEL JAMES | DIRECTOR /CHIEF OPERATIONS OFFICER; DIRECTOR /CHIEF OPERATIONS OFFICER/MANAGING DIRECTOR | — |
| BERENS JASPER | DIRECTOR/MANAGING DIRECTOR | — |
| CLEMENTS ELAINE | CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR | — |
| MCDOWALL TANAQUIL | DIRECTOR / CFO | — |
| O'BRIEN MICHAEL FREDERICK | DIRECTOR/CHIEF EXECUTIVE OFFICER | — |
| SMITH GLENN MALCOLM | DIRECTOR | — |
| WHITE JONATHAN PETER REGINALD | HEAD OF LEGAL; HEAD OF LEGAL/MANAGING DIRECTOR | — |
| BERENS JASPER LUKE | DIRECTOR/MANAGING DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-07-22 | regulatory | NEGLIGENT BREACH OF SUPERVISORY AND ORGANIZATIONAL DUTIES IN CONNECTION WITH INFRINGEMENTS OF SECTION 21 OF THE GERMAN SECURITIES TRADING ACT. | Final | $1.8M |
| 2020-09-29 | criminal | — | Final | — |
| 2020-09-29 | regulatory | THE CFTC ENTERED AN ORDER RESOLVING AN ACTION AGAINST JPMORGAN CHASE & CO., AN AFFILIATED BANK (THE "BANK") AND AN AFFILIATED BROKER-DEALER (THE "BROKER-DEALER") (COLLECTIVELY, "JPM"). ACCORDING TO THE ORDER, FROM AT LEAST 2008 THROUGH 2016, NUMEROUS TRADERS ON THE PRECIOUS METALS AND U.S. TREASURIE… | Final | $436.4M |
| 2017-01-03 | regulatory | THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. | Final | $98K |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") RESULTING IN THE FRB ISSUING AN ORDER ("ORDER"). THE ORDER FINDS THAT FROM AT LEAST 2008 THROUGH 2013, JPMC'S ASIA-PACIFIC REGION INVESTMENT BANKING GROUP O… | Final | $61.9M |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") UNDER WHICH JPMC CONSENTED TO THE ENTRY OF AN ORDER (THE "ORDER") THAT FINDS THAT JPMC VIOLATED SECTIONS 13(B)(2)(A), 13(B)(2)(B) AND 30A OF THE SECURITIES EXCHANGE ACT O… | Final | — |
| 2015-05-20 | criminal | ON MAY 20, 2015, THE DOJ FILED A CRIMINAL INFORMATION IN THE DISTRICT COURT CHARGING JPMC WITH A ONE COUNT CRIME CHARGE IN VIOLATION OF THE SHERMAN ANTITRUST ACT, 15 U.S.C. ? 1 (THE "INFORMATION"). THE INFORMATION CHARGES THAT, FROM JULY 2010 UNTIL AT LEAST JANUARY 2013, JPMC, THROUGH ONE OF ITS EUR… | Final | — |
| 2015-05-20 | regulatory | ON MAY 20, 2015, THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") ISSUED AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY AGAINST JPMORGAN CHASE & CO. ("JPMC") RELATING TO ITS FOREIGN EXCHANGE ("FX") ACTIVITIES ("ORDER") FROM 2008 THROUGH 2013. THE ORDER STAT… | Final | $342.0M |
| 2014-06-17 | regulatory | THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. | Final | $101K |