FRANKLIN TEMPLETON INTERNATIONAL SERVICES S.A R.L. of LUXEMBOURG is an SEC exempt reporting adviser (CRD 172140).
Showing 25 of 53 people.
| Name | Role | Location |
|---|---|---|
| Collins Michael | MANAGER | Manchester, NH |
| Jane Elizabeth Trust | MANAGER | — |
| Gwen Louise Shaneyfelt | MANAGER | — |
| William NA Jackson | MANAGER | — |
| Craig Atholl Blair | MANAGER AND CONDUCTING OFFICER | — |
| Rafal Jacek Kwasny | CONDUCTING OFFICER | — |
| John James Hosie | CONDUCTING OFFICER | — |
| Maxime Jean Victor Lina | CONDUCTING OFFICER | — |
| Berengere Blaszczyk | MANAGER | — |
| Olga Frenkel | CONDUCTING OFFICER | — |
| Marius Nechifor | CONDUCTING OFFICER | — |
| Daniel Scire | CONDUCTING OFFICER | — |
| Jaspal Singh Sagger | MANAGER | — |
| Alastair Woodward | MANAGER | — |
| Anisa Kyriakou | CONDUCTING OFFICER | LUXEMBOURG, N4 |
| Blair Craig | CONDUCTING OFFICER AND MANAGER | — |
| Francis Martin Dobbins | MANAGER | — |
| SMART DAVID EYNON | MANAGER | — |
| BRADY PAUL JOHN | MANAGER | — |
| VENNER EDWARD STEPHEN | MANAGER | — |
| SHANEYFELT GWEN LOUISE | MANAGER | — |
| PEREZ JOSE LUIS | CONDUCTING OFFICER | — |
| TRUST JANE ELIZABETH | MANAGER | — |
| DAVIDSON KATHLEEN M | MANAGER | — |
| JACKSON WILLIAM NA | MANAGER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-05-06 | regulatory | IN CONNECTION WITH A REGULATORY INSPECTION OF THE REGISTRANT'S AML/CFT FRAMEWORK IN MARCH 2019, THE LUXEMBOURG COMMISSION DE SURVEILLANCE DU SECTEUR FINANCIER ("CSSF") SENT A LETTER DATED MAY 14, 2021 (THE "LETTER") IDENTIFYING ALLEGED DEFICIENCIES AND OBSERVATIONS WITH REGARD TO THE REGISTRANT'S AN… | Final | $295K |
| 2018-08-27 | regulatory | ON AUGUST 27, 2018, THE SEC ISSUED AN ORDER THAT FOUND THAT LEGG MASON HAD VIOLATED SECTION 13(B)(2)(B) OF THE SECURITIES EXCHANGE ACT OF 1934 BY FAILING TO DEVISE AND MAINTAIN A SYSTEM OF APPROPRIATE INTERNAL ACCOUNTING CONTROLS WITH RESPECT TO THE USE OF INTRODUCING BROKERS AND OTHER INTERMEDIARIE… | Final | — |