AUSBIL INVESTMENT MANAGEMENT LIMITED of SYDNEY is an SEC-registered investment adviser (CRD 289468). Regulatory assets under management: $14.4B.
Compensation: % of AUM.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 29 people.
| Name | Role | Location |
|---|---|---|
| Naim Nmn Abou-Jaoude | DIRECTOR | — |
| Melissa Ching-Ai Kuan | DIRECTOR | — |
| Francis Michael Harte | DIRECTOR | — |
| Jae Sung Yoon | DIRECTOR | — |
| Paul Nmn Xiradis | EXECUTIVE CHAIRMAN, DIRECTOR | — |
| Mark Gregory Knight | CHIEF EXECUTIVE OFFICER, DIRECTOR, COMPANY SECRETARY | — |
| Tyson Anton Cannizzaro | CHIEF COMPLIANCE OFFICER | — |
| Vasiliki Gemisis | DIRECTOR, CHIEF FINANCIAL OFFICER | — |
| Kristy Do | GENERAL COUNSEL AND COMPANY SECRETARY | — |
| Morgan Lyn Glaser | DIRECTOR | — |
| HARTE FRANCIS MICHAEL | DIRECTOR | — |
| FLEURANT JOHN THOMAS | DIRECTOR | — |
| YOON JAE SUNG | DIRECTOR | — |
| YOUNGMAN ROSS CHARLES | CHIEF EXECUTIVE OFFICER, DIRECTOR; COMPANY SECRETARY; DIRECTOR | — |
| SHIVELY GEORGE SYDNEY | COMPANY SECRETARY | — |
| HUNG YIE-HSIN NMN | DIRECTOR | — |
| ABOU-JAOUDE NAIM NMN | DIRECTOR | — |
| XIRADIS PAUL NMN | EXECUTIVE CHAIRMAN, DIRECTOR | — |
| GRACE JOHN NMN | DIRECTOR | — |
| KNIGHT MARK GREGORY | CHIEF EXECUTIVE OFFICER, DIRECTOR; CHIEF EXECUTIVE OFFICER, DIRECTOR, COMPANY SECRETARY; DIRECTOR | — |
| LAMMING JANE TIFFANY | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL, COMPANY SECRETARY; GENERAL COUNSEL, COMPANY SECRETARY | — |
| GIACCO JAY NMN | DIRECTOR | — |
| CANNIZZARO TYSON ANTON | CHIEF COMPLIANCE OFFICER | — |
| GEMISIS VASILIKI | CHIEF FINANCIAL OFFICER; DIRECTOR, CHIEF FINANCIAL OFFICER | — |
| DO KRISTY | GENERAL COUNSEL AND COMPANY SECRETARY | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-01-24 | regulatory | DURING THE COURSE OF A ROUTINE MARKET CONDUCT EXAM, THE STATE OF CONNECTICUT INSURANCE DEPARTMENT (THE STATE) FOUND NEW YORK LIFE INSURANCE COMPANY DID NOT TIMELY PAY LONG TERM CARE CLAIMS IN FOUR INSTANCES. | Final | $1K |
| 2016-10-31 | regulatory | AS THE RESULT OF A ROUTINE MARKET CONDUCT EXAMINATION OF THE AFFAIRS OF NEW YORK LIFE INSURANCE COMPANY FOR THE PERIOD FROM JANUARY 1, 2005 THROUGH DECEMBER 31, 2009, THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES FOUND THAT NEW YORK LIFE VIOLATED SECTIONS 533.5(A), 53.35(B), 533.2(A)(2) AND 53… | Final | $732K |
| 2014-10-24 | regulatory | A CIVIL PENALTY TO NEW YORK LIFE INSURANCE COMPANY BECAUSE A THIRD PARTY ADMINISTRATOR WORKING ON ITS BEHALF FAILED TO COMPLY WITH THE HEALTH INSURANCE CLAIM PAYMENT STANDARDS UNDER THE KENTUCKY PROMPT PAY ACT. | Final | $6K |
| 2014-08-04 | regulatory | THE KANSAS INSURANCE DEPARTMENT CONDUCTED A MARKET CONDUCT EXAM FOR THE TIME PERIOD COVERING 2010 -2012. IN A SUBSEQUENT REPORT, THEY CITED A VIOLATION OF K.S.A. 40-2404( 10) DUE TO INACCURATE FINAL DISPOSITION DATES FOR THREE COMPLAINTS ON NYLIAC'S COMPLAINT LOG FOR THE YEARS 2010, 2011 AND 2012. O… | Final | $500 |
| 2014-05-30 | regulatory | NYLIC ADMITED TO THE FACTS AND ACCEPTED THE MARYLAND ADMINISTRATION'S CONCLUSIONS AS STATED IN THE EXAMINATION REPORT (MCLH-17-2011-E), IN RELATION TO NOT OFFERING THE BENEFICIARY IN WRITING AN EXPLANATION OF FEATURES OF THE RETAINED ASSET ACCOUNTS. NYLIC DENIED LIABILITY TO ANY THIRD PARTY AS A RES… | Final | $1K |
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