HSBC ALTERNATIVE INVESTMENTS LIMITED of LONDON is an SEC exempt reporting adviser (CRD 172486).
Showing 25 of 44 people.
| Name | Role | Location |
|---|---|---|
| Allen David David | DIRECTOR | Vancouver, A1 |
| Stephen Chun Pong Tam | CFO | — |
| Jonathan Beater | COMPANY SECRETARY | — |
| Sajeda Bana | CFO ALTERNATIVES AND AMEU | — |
| Xavier Francois Baraton | DIRECTOR | — |
| Edmund Richard Stokes | DIRECTOR | — |
| Francisco Borja Azpilicueta | DIRECTOR | — |
| William Anthony Benjamin | DIRECTOR, CEO | — |
| Sara Myrle Suchet | HEAD OF LEGAL - ALTERNATIVES | — |
| Laurence Raby | DIRECTOR OF OPERATIONS, ALTERNATIVES | — |
| Berit Christiani | DIRECTOR | — |
| Carol Elaine Greenwood | CHIEF COMPLIANCE OFFICER ASSET MANAGEMENT | — |
| DEAN MARY KATHERINE | COMPANY SECRETARY | — |
| STOKES EDMUND RICHARD | DIRECTOR | — |
| BAINS NARINDER PAUL SINGH | CHIEF OPERATIONS OFFICER | — |
| CORK NATASHA | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER ASSET MANAGEMENT | — |
| BARATON XAVIER FRANCOIS | DIRECTOR | — |
| CHANDRASEKHARAN SRIDHAR | NON-EXECUTIVE DIRECTOR | — |
| WHELAN KEVIN | CFO | — |
| palmer timothy james | DIRECTOR; NON-EXECUTIVE DIRECTOR | — |
| Higgins Kerry Victoria | COMPANY SECRETARY | — |
| HEYWORTH RICHARD BRIAN | NON-EXECUTIVE DIRECTOR | — |
| Beater Jonathan | COMPANY SECRETARY | — |
| Bana Sajeda | CFO ALTERNATIVES AND AMEU | — |
| TREMBLE PHILIP JOHN | NON-EXECUTIVE DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-05-24 | regulatory | IN MAY 2023 THE COMPETITION AND MARKETS AUTHORITY ISSUED A STATEMENT OF OBJECTIONS TO FIVE BANKS (DEUTSCHE BANK, MORGAN STANLEY, ROYAL BANK OF CANADA, CITI, AND HSBC). IN FEBRUARY 2025, THE COMPETITION AND MARKETS AUTHORITY ANNOUNCED THAT IT HAD REACHED A SETTLEMENT WITH HSBC. HSBC ACCEPTED THAT A S… | Final | $30.0M |
| 2021-12-02 | regulatory | THE EUROPEAN COMMISSION IN DECEMBER 2021 COMPLETED A CARTEL INVESTIGATION INTO THE FOREIGN EXCHANGE ('FOREX') SPOT TRADING MARKET BY IMPOSING FINES ON FIVE FINANCIAL INSTITUTIONS, INCLUDING HSBC HOLDINGS PLC. THE COMMISSION'S INVESTIGATION FOCUSED ON THE TRADING OF THE G10 CURRENCIES. THE COMMISSION… | Final | $197.0M |
| 2018-01-18 | regulatory | IN JANUARY 2018, FOLLOWING THE CONCLUSION OF THE US DEPARTMENT OF JUSTICE'S (DOJ) INVESTIGATION INTO HSBC'S HISTORICAL FOREIGN EXCHANGE ACTIVITIES, HSBC HOLDINGS ENTERED INTO A THREE-YEAR DEFERRED PROSECUTION AGREEMENT WITH THE CRIMINAL DIVISION OF THE DOJ (THE FX DPA), REGARDING FRAUDULENT CONDUCT… | Final | $101.5M |
| 2017-09-29 | regulatory | IN SEPTEMBER 2017, FOLLOWING THE CONCLUSION OF THE US FEDERAL RESERVE BOARD'S REVIEW OF THE EFFECTIVENESS OF HSBC'S FX PRACTICES DURING THE PERIOD OF OCTOBER 2008 THROUGH OCTOBER 2013, HSBC HOLDINGS PLC AND HSBC NORTH AMERICA HOLDINGS INC. ENTERED INTO A CONSENT ORDER REGARDING CERTAIN DEFICIENCIES… | Final | $175.3M |
| 2016-12-07 | regulatory | IN DECEMBER 2016, THE EUROPEAN COMMISSION (THE "COMMISSION") ISSUED A DECISION THAT IN EARLY 2007 HSBC, AMONG OTHER BANKS, COLLUDED ON EURO INTEREST RATE DERIVATIVE PRICING ELEMENTS, AND EXCHANGED RELATED SENSITIVE INFORMATION, IN BREACH OF EU ANTITRUST RULES. THE COMMISSION DETERMINED THAT THE DURA… | Final | $37.8M |