AVENTICUM CAPITAL MANAGEMENT (QATAR) LLC of DOHA is an SEC exempt reporting adviser (CRD 282157).
Showing 25 of 30 people.
| Name | Role | Location |
|---|---|---|
| Mark Scott | RISK OFFICER | Vancouver, A1 |
| Ezzeden Abusitta | CHIEF COMPLIANCE OFFICER | — |
| Ferenc Schnitzer | CEO; MANAGING PARTNER | — |
| Bassam Slim | PORTFOLIO MANAGER | — |
| Masroor Ahmed | CHIEF OPERATING OFFICER | — |
| Maryanne Del Rosario | FINANCE OFFICER | — |
| Sheikh Sultan Jassim MJ Al-Thani | SHAREHOLDER | — |
| Urs Weinwurm | RISK OFFICER | — |
| Mumtaz Laghari | FINANCE OFFICER | — |
| Sarah Elhusseini | CHIEF COMPLIANCE OFFICER | — |
| Hangari Aladdin | BOARD MEMBER (CHAIRMAN) | — |
| Schnitzer Ferenc | BOARD MEMBER; BOARD MEMBER (CHAIRMAN) | — |
| TABET YASSIN | BOARD MEMBER | — |
| Wastie Linda | FINANCE OFFICER | — |
| dalloul majed | CHIEF COMPLIANCE OFFICER | — |
| JANSEN VAN RENSBURG FRANCOIS | CHIEF EXECUTIVE OFFICER; CHIEF OPERATING OFFICER | — |
| WEINWURM URS | RISK OFFICER | — |
| ALI ZEESHAN MANZOOR | PORTFOLIO MANAGER | — |
| MASOOD IBRAHIM | PORTFOLIO MANAGER | — |
| OUEIJAN HABIB | CHIEF EXECUTIVE OFFICER | — |
| Hijazi Mohammed Saleh Adbel-Ghani | BOARD MEMBER | — |
| Pickford Susan Elizabeth | FINANCE OFFICER | — |
| ALGHUSSEIN FAHMI | CHIEF EXECUTIVE OFFICER | — |
| Slim Bassam | PORTFOLIO MANAGER | — |
| ABUSITTA EZZEDEN | CHIEF COMPLIANCE OFFICER | — |
Showing 10 of 22 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-12-13 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ENTERED AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS (THE "SEC ORDER") AGAINST CREDIT SUISSE ASSET MANAGEMENT, LLC ("CSAM") AND CERTAIN OF ITS AFFILIATES IN CONNECTION WITH CSAM CONTINUING TO SERVE AS INVESTMENT ADVISER TO REGIST… | Final | $10.1M |
| 2021-11-10 | regulatory | ON JULY 21, 2023, THE UK PRUDENTIAL REGULATION AUTHORITY ISSUED A FINAL NOTICE TO CREDIT SUISSE INTERNATIONAL (CSI) AND CREDIT SUISSE SECURITIES (EUROPE) LTD (CSSEL) CONCERNING VARIOUS RISK MANAGEMENT AND GOVERNANCE FAILINGS ASSOCIATED WITH THE MANAGEMENT OF CREDIT SUISSE'S RELATIONSHIP WITH ARCHEGO… | Final | $119.2M |
| 2021-10-19 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") BROUGHT AN ENFORCEMENT ACTION AGAINST CREDIT SUISSE GROUP AG ("CS GROUP") PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933 ("SECURITIES ACT") AND SECTION 21C OF THE SECURITIES EXCHANGE ACT OF 1934 ("EXCHANGE ACT"), WHICH THAT CS GROUP VIOLATED SECTI… | Final | $99.1M |
| 2021-10-19 | regulatory | THE SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY ("FINMA") BROUGHT AN ACTION AGAINST CREDIT SUISSE INTERNATIONAL, CREDIT SUISSE SECURITIES (EUROPE) LTD., AND CREDIT SUISSE GROUP AG IN CONNECTION WITH THREE INTERCONNECTED TRANSACTIONS FROM 2013 - 2016: (I) A SYNDICATED LOAN TO A MOZAMBICAN STATE-OWNE… | Final | — |
| 2021-10-19 | regulatory | "THE UNITED KINGDOM FINANCIAL CONDUCT AUTHORITY ("FCA") BROUGHT AN ACTION AGAINST CREDIT SUISSE INTERNATIONAL, CREDIT SUISSE SECURITIES (EUROPE) LTD., AND CREDIT SUISSE GROUP AG IN CONNECTION WITH THREE INTERCONNECTED TRANSACTIONS FROM 2013 - 2016: (I) A SYNDICATED LOAN TO A MOZAMBICAN STATE-OWNED E… | Final | $200.7M |
| 2021-04-23 | regulatory | IN 2017, THE COMISSAO DE VALORES MOBILIARIOS (CVM), OR THE BRAZIL SECURITIES COMMISSION, REVIEWED CERTAIN TRADES OCCURRING IN APRIL 2014 BY A NUMBER OF FINANCIAL INSTITUTIONS, ALLEGING THAT SUCH TRADING WAS IN VIOLATION OF CVM INSTRUCTION 530/2012, WHICH GENERALLY PROHIBITS INVESTORS FROM SHORT SELL… | Final | $53K |
| 2019-11-14 | regulatory | THE MAS HAS IMPOSED A CIVIL PENALTY ON UBS AG (UBS), FOR ACTS OF ITS CLIENT ADVISORS THAT CONTRAVENED SECTION 201(B) OF THE SECURITIES AND FUTURES ACT (SFA). UBS CLIENT ADVISORS HAD ENGAGED IN ACTS THAT DECEIVED OR WERE LIKELY TO DECEIVE CLIENTS ABOUT THE SPREADS AND/OR INTERBANK PRICES FOR TRANSACT… | Final | $11.2M |
| 2018-07-05 | regulatory | THE SEC ORDER ALLEGES THAT BETWEEN 2007 AND 2013, EMPLOYEES OF CREDIT SUISSE (HONG KONG) LIMITED IN THE ASIA PACIFIC REGION PROVIDED EMPLOYMENT OPPORTUNITIES TO RELATIVES AND ASSOCIATES OF GOVERNMENT OFFICIALS AND STATE-0WNED ENTERPRISE EMPLOYEES IN CHINA AND HONG KONG TO INFLUENCE THE AWARDING OF I… | Final | — |
| 2018-05-31 | regulatory | THE OFFICE OF THE COMPTROLLER OF THE CURRENCY FOUND THAT UBS AG, NEW YORK BRANCH, UBS AG, STAMFORD BRANCH, UBS AG, MIAMI BRANCH, (COLLECTIVELY, THE "UBS BRANCHES" HAD DEFICIENCIES IN THEIR BANK SECRECY ACT AND ANTI-MONEY LAUNDERING COMPLIANCE PROGRAM THAT RESULTED IN VIOLATIONS OF 12 C.F.R. SECTION… | Final | — |
| 2018-02-08 | regulatory | ON FEBRUARY 8, 2018, THE HONG KONG SECURITIES AND FUTURES COMMISSION ANNOUNCED IT HAD REACHED A RESOLUTION WITH THE THREE HONG KONG CREDIT SUISSE ENTITIES LISTED ABOVE TO RESOLVE VARIOUS HISTORICAL REGULATORY BREACHES AND INTERNAL CONTROL FAILURES RELATING TO CREDIT SUISSE'S HONG KONG-BASED EQUITIES… | Final | $5.0M |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| AQS MENA MASTER FUND LIMITED | Hedge Fund | Cayman Islands | 2 | $83.0M | $100K |