JPMORGAN ASSET MANAGEMENT (EUROPE) S.A.R.L. of SENNINGERBERG is an SEC exempt reporting adviser (CRD 304190). This firm reports disciplinary history on Form ADV.
Showing 25 of 41 people.
| Name | Role | Location |
|---|---|---|
| Jeroen Fastenaekels | CHIEF LEGAL OFFICER | — |
| Andrew Richard Powell | NON-EXECUTIVE BOARD MEMBER / AM CAO AND HEAD OF AM GLOBAL CLIENT SERVICE | — |
| Philippe Lionel Ringard | CHIEF EXECUTIVE OFFICER / CONDUCTING OFFICER LEGAL AND PRODUCT IMPLEMENTATION | — |
| Massimo Piero Franco Greco | EXECUTIVE BOARD MEMBER / VICE CHAIR OF EMEA ASSET MANAGEMENT | — |
| Hendrik Guillaume Francois Van Riel | INDEPENDENT NON-EXECUTIVE BOARD MEMBER | — |
| Graham Arthur Goodhew | INDEPENDENT NON-EXECUTIVE BOARD MEMBER | — |
| James Christopher Stuart | CONDUCTING OFFICER / CHIEF ADMINISTRATION OFFICER | — |
| Kathy Viviane Faretra Vancomerbeke | CONDUCTING OFFICER FINANCE / CHIEF FINANCIAL OFFICER | — |
| Christoph Bergweiler | EXECUTIVE CHAIR OF THE BOARD/ HEAD OF CONTINENTAL EUROPE FUNDS | — |
| Louise Patricia Mullan | CONDUCTING OFFICER ONBOARDING, MARKETING AND DISTRIBUTION | — |
| Anna Cecilia Elisabeth Vernersson Casadejus | CONDUCTING OFFICER COMPLIANCE AND THE FIGHT AGAINST FINANCIAL CRIME / CHIEF COMPLIANCE OFFICER | — |
| Adam Robert Henley | NON-EXECUTIVE BOARD MEMBER/ AM EMEA HEAD OF PRODUCT DEVELOPMENT | — |
| Robert Ian Kaylor | CONDUCTING OFFICER FUND ADMINISTRATION; CONDUCTING OFFICER FUND ADMINISTRATION AND VALUATION | — |
| Benjamin Samuel Jarvis | CONDUCTING OFFICER INVESTMENT MANAGEMENT | — |
| Janice Sofia Murgio | CONDUCTING OFFICER RISK MANAGEMENT | — |
| Luiz Augusto Vitoria Regis Filho | NON-EXECUTIVE BOARD MEMBER / AM EMEA CHIEF RISK OFFICER AND GLOBAL HEAD OF INVESTMENT RISK FOR ALTERNATIVES, MULTI-ASSET SOLUTIO | — |
| Beate Gross | CONDUCTING OFFICER RISK MANAGEMENT/ EXECUTIVE BOARD MEMBER | — |
| Gilbert John Dunlop | CONDUCTING OFFICER INVESTMENT MANAGEMENT | — |
| DUNLOP MICHAEL JOHN | CONDUCTING OFFICER INVESTMENT MANAGEMENT; CONDUCTING OFFICER INVESTMENT MANAGEMENT / EXECUTIVE DIRECTOR | — |
| VAN DER MERWE FRANCOIS | INDEPENDENT NON- EXECUTIVE BOARD MEMBER; INDEPENDENT NON-EXECUTIVE BOARD MEMBER | — |
| GOODHEW GRAHAM ARTHUR | INDEPENDENT NON- EXECUTIVE BOARD MEMBER; INDEPENDENT NON-EXECUTIVE BOARD MEMBER | — |
| POWELL ANDREW RICHARD | NON-EXECUTIVE BOARD MEMBER / AM CAO AND HEAD OF AM GLOBAL CLIENT SERVICE; NON-EXECUTIVE BOARD MEMBER / HEAD OF AM GLOBAL CLIENT SERVICE; NON-EXECUTIVE BOARD MEMBER / HEAD OF AM GLOBAL CLIENT SERVICE / MANAGING DIRECTOR | — |
| GROSS DIANE NMN | CONDUCTING OFFICER RISH MANAGEMENT / EXECUTIVE BOARD MEMBER / MANAGING DIRECTOR; CONDUCTING OFFICER RISK MANAGEMENT AND COMPLIANCE/ EXECUTIVE BOARD MEMBER; CONDUCTING OFFICER RISK MANAGEMENT / EXECUTIVE BOARD MEMBER (+4 more) | — |
| SHAH DEEP NMN | CHIEF LEGAL OFFICER / EXECUTIVE DIRECTOR | — |
| WHITE JONATHAN PETER REGINALD | CHIEF LEGAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-07-22 | regulatory | NEGLIGENT BREACH OF SUPERVISORY AND ORGANIZATIONAL DUTIES IN CONNECTION WITH INFRINGEMENTS OF SECTION 21 OF THE GERMAN SECURITIES TRADING ACT. | Final | $1.8M |
| 2021-07-13 | regulatory | THE CSSF HAS IMPOSED A SANCTION ON JPMORGAN ASSET MANAGEMENT (EUROPE) SARL ("JPMAME") IN RESPECT OF THREE (3) SIGNIFICANT DEFICIENCIES FOUND AT ITS INSPECTION OF JPMAME'S RISK MANAGEMENT FUNCTION IN JANUARY 2018. TWO (2) SIGNIFICANT DEFICIENCIES CONSIST OF A FINDING THAT JPMAME BREACHED ARTICLE 109… | Final | $174K |
| 2020-09-29 | regulatory | THE CFTC ENTERED AN ORDER RESOLVING AN ACTION AGAINST JPMORGAN CHASE & CO., AN AFFILIATED BANK (THE "BANK") AND AN AFFILIATED BROKER-DEALER (THE "BROKER-DEALER") (COLLECTIVELY, "JPM"). ACCORDING TO THE ORDER, FROM AT LEAST 2008 THROUGH 2016, NUMEROUS TRADERS ON THE PRECIOUS METALS AND U.S. TREASURIE… | Final | $436.4M |
| 2020-09-29 | criminal | — | Final | — |
| 2017-01-03 | regulatory | THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. | Final | $98K |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") RESULTING IN THE FRB ISSUING AN ORDER ("ORDER"). THE ORDER FINDS THAT FROM AT LEAST 2008 THROUGH 2013, JPMC'S ASIA-PACIFIC REGION INVESTMENT BANKING GROUP O… | Final | $61.9M |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") UNDER WHICH JPMC CONSENTED TO THE ENTRY OF AN ORDER (THE "ORDER") THAT FINDS THAT JPMC VIOLATED SECTIONS 13(B)(2)(A), 13(B)(2)(B) AND 30A OF THE SECURITIES EXCHANGE ACT O… | Final | — |
| 2015-05-20 | criminal | ON MAY 20, 2015, THE DOJ FILED A CRIMINAL INFORMATION IN THE DISTRICT COURT CHARGING JPMC WITH A ONE COUNT CRIME CHARGE IN VIOLATION OF THE SHERMAN ANTITRUST ACT, 15 U.S.C. ? 1 (THE "INFORMATION"). THE INFORMATION CHARGES THAT, FROM JULY 2010 UNTIL AT LEAST JANUARY 2013, JPMC, THROUGH ONE OF ITS EUR… | Final | — |
| 2015-05-20 | regulatory | ON MAY 20, 2015, THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") ISSUED AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY AGAINST JPMORGAN CHASE & CO. ("JPMC") RELATING TO ITS FOREIGN EXCHANGE ("FX") ACTIVITIES ("ORDER") FROM 2008 THROUGH 2013. THE ORDER STAT… | Final | $342.0M |
| 2014-06-17 | regulatory | THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. | Final | $101K |