ICICI PRUDENTIAL ASSET MANAGEMENT COMPANY LIMITED of MUMBAI, MAHARASHTRA is an SEC-registered investment adviser (CRD 312825). Regulatory assets under management: $117.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
Showing 25 of 34 people.
| Name | Role | Location |
|---|---|---|
| NIMESH SHAH | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER | BOSTON, MA |
| Suresh Subramanian | CHIEF OPERATIONS OFFICER | — |
| MALDONADO-CODINA GUILLERMO EDUARDO | NOMINEE DIRECTOR | — |
| BAGCHI ANUP ANIMESH | CHAIRMAN AND NOMINEE DIRECTOR | — |
| AGARWAL ABHISHEK KUMAR | CHIEF FINANCIAL OFFICER | — |
| Shah Nimesh | MANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER | — |
| Batra Sandeep | CHAIRMAN & NOMINEE DIRECTOR; NOMINEE DIRECTOR | — |
| Sankaran Naren | EXECUTIVE DIRECTOR/CHIEF INVESTMENT OFFICER | — |
| CHATURVEDI VED PRAKASH | INDEPENDENT DIRECTOR | — |
| Karnik Dilip | INDEPENDENT DIRECTOR | — |
| Masood Naved | INDEPENDENT DIRECTOR | — |
| Rishi Vibha Paul | INDEPENDENT DIRECTOR | — |
| Balasubramanian Ramakrishna | CHIEF FINANCIAL OFFICER | — |
| Singhvi Vikas | CHIEF OPERATIONS OFFICER | — |
| Banerji Joseph | LEGAL OFFICER | — |
| Shetty Rakesh | HEAD-COMPLIANCE AND COMPANY SECRETARY | — |
| Jacob Antony | INDEPENDENT DIRECTOR | — |
| Kwong Seck Wai | NOMINEE DIRECTOR | — |
| Reddy Preeti | INDEPENDENT DIRECTOR | — |
| Singh Nupur | LEGAL OFFICER | — |
| SUBRAMANIAN SURESH | CHIEF OPERATIONS OFFICER | — |
| Sanghai Anubhuti | NOMINEE DIRECTOR | — |
| Rakesh Shetty | CHIEF COMPLIANCE OFFICER AND COMPANY SECRETARY | Mumbai, K7 |
| Sandeep Batra | CHAIRMAN & NOMINEE DIRECTOR | — |
| Naren Sankaran | EXECUTIVE DIRECTOR/CHIEF INVESTMENT OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-05-03 | regulatory | THE RESERVE BANK OF INDIA (RBI) HAS, BY AN ORDER DATED MAY 03, 2021, IMPOSED A MONETARY PENALTY OF 30 MILLION INR (APPROX.0.4 MILLION USD, CONSIDERING 1$ = 74.18 INR AS ON MAY 03, 2021) ON ICICI BANK LTD. THIS PENALTY HAS BEEN IMPOSED UNDER THE PROVISIONS OF SECTION 47 A (1) (C) READ WITH SECTIONS 4… | Final | $400K |
| 2018-08-28 | regulatory | CERTAIN ALLEGED VIOLATIONS WERE OBSERVED DURING THE INSPECTION OF ICICI PRUDENTIAL MUTUAL FUND UNDER SEBI (MUTUAL FUNDS) REGULATIONS, 1996 FOR THE PERIOD OF APRIL 01, 2014 TO MARCH 31, 2016. QUASI-JUDICIAL PROCEEDINGS HAD BEEN INITIATED BY SEBI, WITH RESPECT TO FOLLOWING MATTERS: A)INVESTMENT BY SCH… | Final | $4K |
| 2018-03-29 | regulatory | RESERVE BANK OF INDIA (RBI) HAS THROUGH AN ORDER DATED MARCH 26, 2018, IMPOSED A MONETARY PENALTY OF 589.0 MILLION INR (APPROX 9 MILLION USD, CONSIDERING 1$ = 64.90 INR AS ON MARCH 26, 2018) ON ICICI BANK LIMITED (BANK) FOR NON-COMPLIANCE WITH DIRECTIONS/GUIDELINES ISSUED BY RBI. | Final | $9.0M |
| 2015-04-05 | regulatory | THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY ("FSAN") ALLEGED THAT AFTER PRUDENTIAL PLC ACQUIRED SHARES IN STOREBRAND ASA, IT CROSSED A 5% REPORTING THRESHOLD AND DID NOT IMMEDIATELY NOTIFY THE ISSUER AND THE FSAN, AS REQUIRED BY NORWEGIAN SECURITIES TRADING ACT SECTION 4-3. PRUDENTIAL PLC REPORTED… | Final | $12K |
| 2014-09-15 | civil | ICICI BANK LIMITED ("ICICI BANK") HAD ENTERED INTO A REFERRAL ARRANGEMENT WITH JONES LANG LASALLE MEGHRAJ(JLLM) , AN ENTITY ENGAGED IN THE BUSINESS OF PROVIDING REAL ESTATE CONSULTANCY SERVICES, FOR THE PURPOSE OF REFERRING INTERESTED CLIENTS TO AVAIL THE SERVICES OF JLLM. UNDER THE SAID ARRANGEMENT… | Final | — |
| 2014-07-10 | civil | THE PLAINTIFFS, BEING INVESTORS OF DIF III (A POOLED INVESTMENT VEHICLE IN MAURITIUS), FILED A COMPLAINT AGAINST DIF III, IFSL (ADMINISTRATOR OF DIF III IN MAURITIUS), ICICI VENTURE (MANAGER OF IAF III - A REAL ESTATE FUND IN WHICH DIF III HAD INVESTED), ICICI BANK LIMITED (ARRANGER TO DIF III) AND… | Pending | — |
| City | State | Employees | Phone |
|---|---|---|---|
| MUMBAI | — | 0 | 9102226852000 |