RAM ACTIVE INVESTMENTS S.A. of GENEVA is an SEC-registered investment adviser (CRD 226589). Regulatory assets under management: $2.4B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 40 people.
| Name | Role | Location |
|---|---|---|
| Alexandra Virginia Young | DIRECTOR | — |
| Laurent Joseph Francois Lienard | CHIEF COMPLIANCE OFFICER, HEAD OF LEGAL | — |
| Emmanuel Michael Hauptmann | EXECUTIVE OFFICER, DIRECTOR; SHAREHOLDER | — |
| Andrea Maralla | DIRECTOR | — |
| Frank Goasguen | CHIEF EXECUTIVE OFFICER, DIRECTOR | — |
| Cristiano Paulo Cardoso | EXECUTIVE OFFICER | — |
| Norma Ligia Torres Fentanes | DIRECTOR | — |
| Sebastien Philippe Marc Billot | DIRECTOR | — |
| FROGG JAN ERIK | DIRECTOR | — |
| GOASGUEN FRANK | CHIEF EXECUTIVE OFFICER, DIRECTOR; DIRECTOR | — |
| BROCH MICHEL STANISLAS | DIRECTOR | — |
| REYL FRANCOIS NMN | SHAREHOLDER | — |
| LIENARD LAURENT | CHIEF COMPLIANCE OFFICER, HEAD OF LEGAL | — |
| BOTTI MAXIME | EXECUTIVE OFFICER; EXECUTIVE OFFICER, DIRECTOR; SHAREHOLDER | — |
| HAUPTMANN EMMANUEL MICHAEL | EXECUTIVE OFFICER; EXECUTIVE OFFICER, DIRECTOR; OWNER (+1 more) | — |
| FRINGHIAN CHRISTIAN | DIRECTOR | — |
| KRUL HERMAN | DIRECTOR | — |
| VAN DER WORM WILLEM | DIRECTOR | — |
| LORENZONI PAUL-FRANCOIS | DIRECTOR | — |
| ZITO ROBERTO | EXECUTIVE OFFICER | — |
| POURCELOT PIERRE-OLIVIER FRANOIS ANDR | EXECUTIVE OFFICER | — |
| DE SAINT-SEINE THOMAS BENIGNE | CHIEF EXECUTIVE OFFICER, DIRECTOR; SHAREHOLDER | — |
| TORRES FENTANES NORMA LIGIA | DIRECTOR | — |
| LIENARD LAURENT JOSEPH FRANCOIS | CHIEF COMPLIANCE OFFICER, HEAD OF LEGAL | — |
| FRINGHIAN CHRISTIAN RICHARD ACHOD | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-05-03 | regulatory | SHORTCOMINGS IN TRANSPARENCY AND FAIRNESS IN CUSTOMER RELATIONS AND INCORRECT APPLICATION OF COMMISSIONS. THE SHORTCOMINGS HAVE BEEN REMEDIED. | Final | $3.1M |
| 2019-12-17 | regulatory | WEAKNESS IN THE AML CUSTOMER DUE DILIGENCE AND SUSPICIOUS ACTIVITY REPORTING PROCESSES. THE SHORTCOMINGS HAVE BEEN REMEDIED. | Final | $1.4M |
| 2017-02-17 | regulatory | ALLEGED BREACH OF RULES ON DISCLOSURE OBLIGATION TO THE MARKET IN RELATION TO A TRANSACTION REGARDING AN ITALIAN LISTED COMPANY ACTIVE IN THE TMT SECTOR. | Final | $87K |
| 2015-12-16 | regulatory | ALLEGED BREACH OF DISCLOSURE OF NET SHORT POSITIONS ON THE SHARES OF AN ITALIAN LISTED COMPANIES ACTIVE IN THE TMT SECTOR | Final | — |
| 2014-11-17 | regulatory | CONSOB ALLEGED MISSING OR DELAYED ENTRIES IN THREE REGISTERS HELD FOR MARKET ABUSE PURPOSES IN RELATION TO THREE BOOK BUILDING TRANSACTIONS OCCURRED IN 2013 AND 2014 | Final | $17K |
| 2003-03-12 | civil | ON DECEMBER 18, 2002, THE ITALIAN STOCK MARKET REGULATOR ("CONSOB") RULED THAT MEDIOBANCA ACTED IN CONCERT WITH OTHER COMPANIES DURING THEIR COMBINED PURCHASE OF MORE THAN 30% OF THE SHARE CAPITAL OF LA FONDIARIA ASSICURAZIONI S.P.A. ("FONDIARIA", NOW UNIPOLSAI ASSICURAZIONI S.P.A. ("UNIPOLSAI") IN… | Final | — |
| 2003-03-12 | civil | ON DECEMBER 18, 2002, THE ITALIAN STOCK MARKET REGULATOR ("CONSOB"), RULED THAT MEDIOBANCA ACTED IN CONCERT WITH OTHER COMPANIES DURING THEIR COMBINED PURCHASE OF MORE THAN 30% OF THE SHARE CAPITAL OF LA FONDIARIA ASSICURAZIONI S.P.A. ("FONDIARIA", NOW UNIPOLSAI ASSICURAZIONI S.P.A. ("UNIPOLSAI") IN… | Final | — |