BARING ASSET MANAGEMENT LIMITED of LONDON is an SEC exempt reporting adviser (CRD 299118).
Showing 25 of 29 people.
| Name | Role | Location |
|---|---|---|
| Jill Elyse Dinerman | DIRECTOR | — |
| Rhian Catrin Williams | DIRECTOR, SECRETARY; SECRETARY | — |
| Alexander Campbell Sutherland | DIRECTOR | — |
| Katherine Louise Kemp | DIRECTOR | — |
| Martin Scott Horne | DIRECTOR | — |
| Charlotte Michelle Phillips | DIRECTOR | — |
| THOMPSON DAVID JOHN | CHAIRMAN AND DIRECTOR | — |
| SWAYNE JULIAN T | CHIEF EXECUTIVE OFFICER / DIRECTOR; DIRECTOR | — |
| FINKE THOMAS MICHAEL | DIRECTOR | — |
| BIGGINS CHRISTOPHER GERALD | CHIEF COMPLIANCE OFFICER | — |
| CHICARES ELIZABETH WARD | DIRECTOR | — |
| KENT JOHN | DIRECTOR | — |
| FRANCIS SHELDON MAURICE | DIRECTOR | — |
| EVANS NICHOLAS EMRYS | CHIEF LEGAL OFFICER; GENERAL COUNSEL / COMPANY SECRETARY; SECRETARY | — |
| HOEFLING PATRICK LOUIS | CHIEF FINANCIAL OFFICER; DIRECTOR | — |
| BROWNING EMMA LOUISE | CHIEF COMPLIANCE OFFICER | — |
| SUTHERLAND ALEX | CHIEF FINANCE OFFICER; DIRECTOR | — |
| DINERMAN JILL Elyse | DIRECTOR | — |
| CALLOW AMY | SECRETARY | — |
| PARKER ALEXA NICOLE | DIRECTOR | — |
| WILLIAMS RHIAN | SECRETARY | — |
| SUTHERLAND ALEXANDER CAMPBELL | DIRECTOR | — |
| WILLIAMS RHIAN CATRIN | SECRETARY | — |
| PARKER NICOLE DANIELLE | DIRECTOR | — |
| KEMP KATHERINE LOUISE | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-03-31 | regulatory | IT WAS ALLEGED THAT MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY'S PRACTICES AND PROCEDURES DID NOT COMPLY WITH STATUTORY AND REGULATORY PROVISIONS: 18 DEL ADMIN. C.?1203-4.0 LIFE INSURANCE SOLICITATION DEFINITIONS; 18 DEL. ADMIN C. ?1204-5.2 DUTIES OF AGENTS AND BROKERS; 18 DEL. C. ?1204.7.1 DUTIES… | Final | $134K |
| 2022-05-26 | regulatory | MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY MUST CERTIFY ANNUALLY TO THE OFFICE OF THE INSURANCE COMMISSIONER ("OIC") THE INSURANCE PRODUCERS THAT ARE SELLING, SOLICITING OR NEGOTIATING THE COMPANY'S LONG TERM CARE ("LTC") INSURANCE PRODUCTS HAVE COMPLETED LTC REQUIREMENTS. THE CERTIFICATION IS REQU… | Final | $10K |
| 2022-04-12 | regulatory | IN 2003 THE INSURED PURCHASED A FLEXIBLE PREMIUM ADJUSTABLE LIFE INSURANCE POLICY WITH A FACE AMOUNT $500,000. IT WAS ALLEGED THAT MASSMUTUAL RAISED THE PREMIUMS AND CHANGED AND CANCELLED THE POLICY WITHOUT NOTIFYING THE INSURED. THE INSURED FURTHER ALLEDGED THAT THE AGENT DID NOT EXPLAIN THAT THE P… | Final | $1K |
| 2017-10-03 | regulatory | THE STATE OF CONNECTICUT INSURANCE DEPARTMENT CONDUCTED A MARKET CONDUCT EXAMINATION FOR THE PERIOD JANUARY 1, 2014 THROUGH DECEMBER 31, 2016 OF MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ("MASSMUTUAL"). MASSMUTUAL IS THE PARENT OF MML INVESTMENT ADVISERS, LLC. AT THE CONCLUSION OF THE EXAMINATION,… | Final | $61K |
| 2013-10-17 | regulatory | HUD ALLEGED THAT MASSMUTUAL FAILED TO SUBMIT (1) AUDITED FINANCIAL STATEMENTS AND SUPPLEMENTARY REPORTS; (2) THE ANNUAL RECERTIFICATION FEE; (3) THE CALL REPORTS; AND (4) THE ONLINE CERTIFICATION (COLLECTIVELY THE "ANNUAL RECERTIFICATION REQUIREMENTS") WITHIN 90 DAYS OF THE CLOSE OF THE FISCAL YEAR… | Final | $8K |
| 2012-04-20 | regulatory | THE COMMONWEALTH OF VIRGINIA, BUREAU OF INSURANCE (THE "BUREAU") ALLEGED THAT MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ("MASSMUTUAL") VIOLATED SUBSECTIONS 38.2-502(1) AND 14 VAC 5-40-40(A)(1) AND (A)(4), MARKETING COMMUNICATION STANDARDS AND REQUIREMENTS OF THE COMMONWEALTH OF VIRGINIA STATE CORP… | Final | $4K |
| 2012-01-01 | regulatory | THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ("DFS") COMMENCED AN INVESTIGATION FOR THE PERIOD OF 1/1/2012-5/31/2018. DURING ITS INVESTIGATION, DFS IDENTIFIED A PRACTICE ARISING FROM THE REPLACEMENT OF DEFERRED ANNUITY CONTRACTS WITH IMMEDIATE INCOME ANNUITY CONTRACTS IN VIOLATION OF THE DISC… | Final | $692K |