MAN INVESTMENTS AUSTRALIA LIMITED of SYDNEY is an SEC-registered investment adviser (CRD 313907). Regulatory assets under management: $4.1B.
Compensation: % of AUM, Performance, Other.
Clients served: Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| Hersh Gandhi | DIRECTOR | — |
| Andrew Warren Swan | DIRECTOR | — |
| Chantelle Deidre Hill | CHIEF COMPLIANCE OFFICER & COMPANY SECRETARY | — |
| Tuen Wai Tam | DIRECTOR | — |
| Stephen James Jordan | DIRECTOR | — |
| KUCKELMAN SOLOMON EDMUND | DIRECTOR | — |
| STEEL MURRAY JOSEPH | DIRECTOR | — |
| JORDAN STEPHEN JAMES | DIRECTOR; DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| STERN OLIVER JAMES | DIRECTOR | — |
| SINGH ANURADHA ANUPAMA | COMPANY SECRETARY | — |
| GANDHI HERSH | DIRECTOR | — |
| SWAN ANDREW WARREN | DIRECTOR | — |
| HILL CHANTELLE DEIDRE | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER & COMPANY SECRETARY | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-02-12 | regulatory | ON APRIL 7, 2021, MAN GROUP PLC ("MAN"), AN ADVISORY AFFILIATE OF MAN INVESTMENTS AUSTRALIA LIMITED BASED IN LONDON, UK, AGREED TO PAY A FINE OF EURO 240,000 TO THE COMISION NACIONAL DEL MERCADO DE VALORES (THE "CNMV"), PURSUANT TO A SETTLED RESOLUTION, IN CONNECTION WITH THE CNMV'S FINDINGS THAT MA… | Final | — |