MACQUARIE INVESTMENT MANAGEMENT GLOBAL LIMITED of SYDNEY is an SEC-registered investment adviser (CRD 277065). Regulatory assets under management: $187.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Lee Mark Binks | CHIEF COMPLIANCE OFFICER | — |
| Bruce Neil Terry | DIRECTOR | — |
| TERRY BRUCE NEIL | DIRECTOR | — |
| GRAY JOHN | DIRECTOR | — |
| ALLTON NICHOLAS ROLAND | CHIEF LEGAL OFFICER | — |
| GITHENS MATT | CHIEF COMPLIANCE OFFICER | — |
| AUBREY MEGAN | DIRECTOR | — |
| LEWTHWAITE BRETT | DIRECTOR | — |
| STEPHENS GRANT | DIRECTOR | — |
| Zeltzer Michelle | CHIEF COMPLIANCE OFFICER | — |
| LIM KEAN | CHIEF COMPLIANCE OFFICER | — |
| Gohil Rajiv Subhas | DIRECTOR | — |
| BINKS LEE MARK | CHIEF COMPLIANCE OFFICER | — |
| Marull Caroline | DIRECTOR | — |
| THOMPSON SCOT FRASER | DIRECTOR | — |
| Ling Patrick Chi Guin | CHIEF LEGAL OFFICER | — |
| MAIDEN GRAHAM BRUCE | DIRECTOR | — |
| JUSTIN BROWN PETER | CHIEF COMPLIANCE OFFICER | — |
| Stewart Dean Cameron | DIRECTOR | — |
| Gavegan Monique | DIRECTOR | — |
| Hurst Christopher John | DIRECTOR | — |
| Scot Fraser Thompson | DIRECTOR | — |
| Dean Cameron Stewart | DIRECTOR | — |
| Monique Gavegan | DIRECTOR | — |
| Christopher John Hurst | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-06-22 | regulatory | ASIC AND MIML HAVE AGREED THAT MIML BREACHED THE AUSTRALIAN CORPORATIONS ACT IN CONNECTION WITH ITS ROLE AS RESPONSIBLE ENTITY OF THE VAN EYK BLUEPRINT INTERNATIONAL SHARES FUND (A REGULATED FUND UNDER THE ACT) (VBI) BY FAILING TO EXERCISE SUFFICIENT CARE AND DILIGENCE IN RELATION TO VAN EYK'S DECIS… | Pending | $600K |
| 2016-06-22 | civil | ASIC AND MIML HAVE AGREED THAT MIML BREACHED THE AUSTRALIAN CORPORATIONS ACT IN CONNECTION WITH ITS ROLE AS RESPONSIBLE ENTITY OF THE VAN EYK BLUEPRINT INTERNATIONAL SHARES FUND (A REGULATED FUND UNDER THE ACT) (VBI) BY FAILING TO EXERCISE SUFFICIENT CARE AND DILIGENCE IN RELATION TO VAN EYK'S DECIS… | Final | $600K |
| 2015-07-07 | regulatory | ON THE BASIS OF THE ORDER AND OFFERS OF SETTLEMENT BY THE AFFILIATES THE COMMISSION FOUND THAT: 1) THE AFFILIATES SERVED OR ACTED AS AN INVESTMENT ADVISER TO REGISTERED INVESTMENT COMPANIES ("FUND SERVICE ACTIVITIES") AS OF APRIL 1, 2015 AND, NOTWITHSTANDING THE ENTRY OF AN INJUNCTION AGAINST AN AFF… | Final | $20K |
| City | State | Employees | Phone |
|---|---|---|---|
| LONDON | — | 3 | +442030372000 |