UBS ASSET MANAGEMENT FUNDS LTD of LONDON is an SEC exempt reporting adviser (CRD 173081).
Showing 25 of 42 people.
| Name | Role | Location |
|---|---|---|
| Tom Griffiths | DIRECTOR | Austin, TX |
| William Bell | INTERIM HEAD C&ORC AM UK | Durham, NC |
| Andrew Wood | CHIEF OPERATING OFFICER | Annapolis, MD |
| Malcolm Edwards | DIRECTOR | — |
| Daniel Beadel | CHIEF FINANCE OFFICER | — |
| Farooq Gulzar | CHIEF RISK OFFICER | — |
| Rosie Bichard | NON-EXECUTIVE DIRECTOR | — |
| Georgina Louise Bean | DIRECTOR | — |
| Louise Anne Taylor | DIRECTOR | — |
| Susan Ebenston | NON-EXECUTIVE DIRECTOR | — |
| Rena Morjana | CHIEF LEGAL OFFICER | — |
| BELL RICHARD WILLIAM | CHIEF COMPLIANCE OFFICER; INTERIM HEAD C&ORC AM UK | — |
| BEECHEY RUTH | CHIEF LEGAL OFFICER | — |
| TAYLOR TERESA ANNE | DIRECTOR | — |
| EBENSTON SUSAN | NON-EXECUTIVE DIRECTOR | — |
| BARNES IAN FREDERICK | DIRECTOR | — |
| Davis Mark Peter | NON-EXECUTIVE DIRECTOR | — |
| DAVIES ANDREW JONATHAN | DIRECTOR | — |
| HARKNESS MILES ADAM | CHIEF RISK OFFICER | — |
| NAFA RAMSAY MAHMOUD | CHIEF COMPLIANCE OFFICER | — |
| CHAUHAN HARSHKANT VITHALBHAI | CHIEF LEGAL OFFICER | — |
| CARTER DANIEL SEAN | DIRECTOR | — |
| GILLIGAN MARK ANDREW | DIRECTOR | — |
| KETTERER RETO | DIRECTOR | — |
| BENNETT ELLIOT JAMES | DIRECTOR | — |
Showing 10 of 65 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-09-04 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS OR CONCLUSIONS THEREIN, UBS AG, UBS FINANCIAL SERVICES, INC., AND UBS SECURITIES LLC (COLLECTIVELY, "UBS") CONSENTED TO THE ENTRY OF A CFTC ORDER MAKING FINDINGS THAT, AT CERTAIN TIMES FROM AT LEAST 2015 UNTIL 2024, UBS FAILED TO DILIGENTLY SUPERVISE MATTERS… | Final | $500.0M |
| 2025-08-23 | criminal | ALLEGED ILLICIT CROSS-BORDER BUSINESS CONDUCT OF UBS AG INTO FRANCE AND COMPLICITY OF ITS FRENCH SUBSIDIARY IN THE PERIOD OF 2004 - TO 2012. | Final | — |
| 2025-05-05 | criminal | FROM JANUARY 2010 THROUGH AT LEAST IN OR ABOUT JULY 2021, CREDIT SUISSE AG CONSPIRED TOWILLFULLY AID U.S. CUSTOMERS IN CONCEALING THEIR OWNERSHIP AND CONTROL OF ASSETS AND FUNDSHELD AT THE BANK, ENABLING THOSE U.S. CUSTOMERS TO EVADE THEIR U.S. TAX OBLIGATIONS. FROM ATLEAST 2014 THROUGH AT LEAST IN… | Final | — |
| 2025-02-18 | regulatory | THE KOREA FINANCIAL SUPERVISORY SERVICE (FSS) UNDERTOOK AN INDUSTRY-WIDE REVIEW OF SHORTSALE ACTIVITIES OF GLOBAL INVESTMENT BANKS STARTING FROM 2023 FOR A PERIOD OF 14 MONTHS. UBSWAS ONE OF THE 14 GLOBAL INVESTMENT BANKS INVOLVED. THE SCOPE OF THE REVIEW WASRETROSPECTIVE IN NATURE PRIMARILY COVERIN… | Final | $250.0M |
| 2025-01-14 | regulatory | THE CMB ALLEGED THAT CERTAIN CLIENT TRADES SUBMITTED BY UBS ON 15 SEPTEMBER 2020 CONSTITUED AS MARKET ABUSE UNDER TURKISH LAW (SUBPARAGRAPHS (A) AND (F) OF THE FIRST PARAGRAPH OF ARTICLE 5 OF THE COMMUNIQUE ON MARKET ABUSE NO.VI.104.1) AND SUBJECT TO ADMINISTRATIVE FINES | Final | $3.3M |
| 2023-12-13 | regulatory | "THE SECURITIES AND EXCHANGE COMMISSION (""SEC"") ENTERED AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESISTPROCEEDINGS (THE ""SEC ORDER"") AGAINST CREDIT SUISSE ASSET MANAGEMENT, LLC (""CSAM"") AND CERTAIN OF ITS AFFILIATES INCONNECTION WITH CSAM CONTINUING TO SERVE AS INVESTMENT ADVISER TO R… | Final | $1.0B |
| 2023-08-01 | regulatory | MAS FOUND SHORTCOMINGS IN THE AREAS OF: (A) CUSTOMER RISK ASSESSMENT. FIVE OF THE FIS (BJBS, BOIPL, CITI, CSSB, UOBKH) FAILED TO IMPLEMENT ADEQUATE POLICIES OR PROCESSES FOR THE RATING OF ML RISKS PRESENTED BY SOME OF THEIR CUSTOMERS. THIS LED TO MIS-RATING OF ML RISKS AND AFFECTED THEIR ABILITY TO… | Final | $680.0M |
| 2023-07-24 | regulatory | ON OR ABOUT JULY 24, 2023, THE SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY (FINMA) CONCLUDED PROCEEDINGS AGAINST CREDITSUISSE, FINDING THAT CREDIT SUISSE HAS SERIOUSLY AND SYSTEMATICALLY VIOLATED FINANCIAL MARKET LAW IN ITS RELATIONSHIP WITH THEARCHEGOS FAMILY OFFICE DUE TO VARIOUS ORGANIZATIONAL D… | Final | $268.5M |
| 2023-07-21 | regulatory | THE FRB CONSENT ORDER, ARISING FROM RISK MANAGEMENT FAILINGS ASSOCIATED WITH THE MARCH 2021 DEFAULT OF ARCHEGOS CAPITALMANAGEMENT LP, ALLEGES VIOLATIONS UNDER SECTION 8(I)(2) OF THE FEDERAL DEPOSIT INSURANCE ACT, AS WELL AS SECTIONS 252.155-157 OFREGULATION YY OF THE BOARD OF GOVERNORS; THE ALLEGATI… | Final | $268.5M |
| 2022-09-27 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("COMMISSION") FOUND THAT FROM 2018 TO SEPTEMBER2022 ("RELEVANT PERIOD") UBS FINANCIAL SERVICES INC., UBS SECURITIES LLC, AND UBS AG(COLLECTIVELY "UBS" OR "RESPONDENTS") VIOLATED SECTIONS 4G,4S(F)(1)(C), 4S(G)(1) AND (3), AND4S(H)(1)(B) OF THE COMMODITY EXCHA… | Final | $75.0M |
Other Private Fund: 1 · Private Equity Fund: 2
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| UBS UK EQUITY INCOME FUND (CLASS C SHARES ACCUMULATION) | Other Private Fund | United Kingdom | 243 | $41.0B | $1K |
| ARCHMORE INTERNATIONAL INFRASTRUCTURE FUND | Private Equity Fund | United Kingdom | 20 | $286.3M | $10.0M |
| ARCHMORE INTERNATIONAL INFRASTRUCTURE FUND II | Private Equity Fund | United Kingdom | 16 | $107.4M | $20.0M |