MACKENZIE INVESTMENTS ASIA LIMITED of HONG KONG is an SEC-registered investment adviser (CRD 285521). Regulatory assets under management: $2.5B.
Compensation: % of AUM.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 32 people.
| Name | Role | Location |
|---|---|---|
| Gregory James Fleming | TRUSTEE | Redwood City, CA |
| Paul Guy Desmarais | TRUSTEE | — |
| Gary Albert Doer | TRUSTEE | — |
| Andre Roger Desmarais | TRUSTEE | — |
| Sophie Desmarais | TRUSTEE | — |
| Lesley Carolyn Marks | DIRECTOR | — |
| Nicholas Lars Westlind | DIRECTOR | — |
| Sean Martin Laphen | DIRECTOR | — |
| Nicholas Peter Scott | DIRECTOR & SENIOR VICE PRESIDENT, PORTFOLIO MANAGER, HEAD OF ASIAN EQUITIES AND DIRECTOR | — |
| Wai Ting Wendy Kwok | CHIEF COMPLIANCE OFFICER | — |
| Ying Du | DIRECTOR | — |
| FLEMING GREGORY JAMES | TRUSTEE | — |
| DESMARAIS PAUL GUY | TRUSTEE | — |
| SCOTT MICHAEL PETER | DIRECTOR & SENIOR VICE PRESIDENT, PORTFOLIO MANAGER, HEAD OF ASIAN EQUITIES AND DIRECTOR; SENIOR VICE PRESIDENT, PORTFOLIO MANAGER, HEAD OF ASIAN EQUITIES AND DIRECTOR | — |
| SINGER WILLIAM | CHAIRMAN OF THE BOARD AND DIRECTOR | — |
| DESMARAIS JACQUELINE | TRUSTEE | — |
| PLESSIS-BELAIR MICHEL | TRUSTEE | — |
| FORTIN GUY | TRUSTEE | — |
| DESMARAIS PAUL | TRUSTEE | — |
| DESMARAIS ANDRE | TRUSTEE | — |
| COYLE JOHN JOSEPH | DIRECTOR | — |
| ELAVIA TONY HOSI | DIRECTOR AND CHAIR OF THE BOARD | — |
| O'Reilly Peter | DIRECTOR | — |
| Li Po Chun | DIRECTOR, SECRETARY, CHIEF FINANCIAL OFFICER & CHIEF COMPLIANCE OFFICER; SECRETARY, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER AND DIRECTOR | — |
| DESMARAIS ANDRE ROGER | TRUSTEE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-04-04 | regulatory | THE ONTARIO SECURITIES COMMISSION ALLEGED THAT MACKENZIE FINANCIAL CORPORATION FAILED TO (I) COMPLY WITH NATIONAL INSTRUMENT 81-105 MUTUAL FUND SALES PRACTICES ("NI 81-105") BY NOT MEETING THE MINIMUM STANDARDS OF CONDUCT EXPECTED OF INDUSTRY PARTICIPANTS IN RELATION TO CERTAIN SALES PRACTICES BETWE… | Final | $900K |