MAPLE ROCK CAPITAL PARTNERS INC. of TORONTO is an SEC-registered investment adviser (CRD 173887). Regulatory assets under management: $6.3B.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Xavier George Majic | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER; SOLE SHAREHOLDER | — |
| Stephen Dengler Lane | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | — |
| LANE STEPHEN DENGLER | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | — |
| MAJIC XAVIER GEORGE | CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER; OWNER; SHAREHOLDER, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER (+1 more) | — |
| KIPP LENNARD CHRISTOPHER | SHAREHOLDER, MANAGING DIRECTOR, HEAD OF RESEARCH | — |
| SPAIN MARCUS JOHN | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-03-04 | regulatory | MAPLE ROCK RECEIVED A LETTER FROM FINANSTILSYNET NOTING THAT MAPLE ROCK HAD VIOLATED THE NOTIFICATION REQUIREMENT UNDER SECTION 3-5 OF THE NORWEGIAN SECURITIES TRADING ACT, CF. REGULATION (EU) NO 236/2012 ("SSR") ARTICLE 5 CF. ARTICLE 9, BY NOT NOTIFYING FINANSTILSYNET WITHIN THE TIME LIMIT SET OUT… | Final | $1K |