# AXA INVESTMENT MANAGERS UK LIMITED

AXA INVESTMENT MANAGERS UK LIMITED of LONDON is an SEC exempt reporting adviser.

## Registration

- CRD: 319562
- Type: SEC exempt reporting adviser
- SEC file number: 802-125804
- Location: 22 BISHOPSGATE, LONDON, EC2N 4BQ
- Phone: 44 020 7003 1000
- Latest filing: 2026-03-30

## Officers, owners & control persons (15)

| Name | Role | Location |
| --- | --- | --- |
| [Richard Guy Davies](https://search.stillhousedata.com/person/689084) | EXECUTIVE DIRECTOR | — |
| [Roger Paul Miners](https://search.stillhousedata.com/person/689090) | EXECUTIVE DIRECTOR | — |
| [Danuta Sarah Mcpartlin](https://search.stillhousedata.com/person/689092) | EXECUTIVE DIRECTOR | — |
| [John Ibottson](https://search.stillhousedata.com/person/691404) | UK CHIEF FINANCIAL OFFICER | — |
| [Terrance Turner](https://search.stillhousedata.com/person/691405) | UK HEAD OF COMPLIANCE (CHIEF COMPLIANCE OFFICER) | London, X0 |
| [Timothy Adam Preston](https://search.stillhousedata.com/person/691406) | UK HEAD OF LEGAL (CHIEF LEGAL OFFICER) | — |
| [Ouajnat Karim](https://search.stillhousedata.com/person/691407) | CHIEF EXECUTIVE OFFICER | — |
| [Jane Wadia](https://search.stillhousedata.com/person/691408) | EXECUTIVE DIRECTOR | — |
| [Marion Le Morhedec](https://search.stillhousedata.com/person/721328) | EXECUTIVE DIRECTOR | — |
| [ARONA MARCELLO](https://search.stillhousedata.com/person/821704) | CHIEF EXECUTIVE OFFICER | — |
| [Ibottson John](https://search.stillhousedata.com/person/903963) | UK CHIEF FINANCIAL OFFICER | — |
| [Tubbs Josephine](https://search.stillhousedata.com/person/903964) | UK GENERAL SECRETARY (CHIEF LEGAL OFFICER) | — |
| [Turner Terrance](https://search.stillhousedata.com/person/903965) | UK HEAD OF COMPLIANCE (CHIEF COMPLIANCE OFFICER) | — |
| [Munro Michaela](https://search.stillhousedata.com/person/903966) | UK CHIEF OPERATING OFFICER (ALTERNATIVES) | — |
| [Preston Timothy Adam](https://search.stillhousedata.com/person/904948) | UK HEAD OF LEGAL (CHIEF LEGAL OFFICER) | — |


## Disclosures (12)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2023-09-13 | regulatory | THE AMF'S ALLEGATIONS AGAINST BNP PARIBAS RELATE TO: 1. INADEQUATE AND MISLEADING CLIENT DISCLOSURES ON FEES - FAILURE TO CLEARLY DISCLOSE COMMISSIONS DE MOUVEMENT. - ABSENCE OF MANDATORY PERFORMANCE-IMPACT ILLUSTRATIONS. - NON-AGGREGATED COST REPORTING, LEADING TO MISUNDERSTANDING OF ACTUAL TOTAL F… | Final | $600K |
| 2023-08-08 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ALLEGED THAT FROM AT LEAST 2014 TO THE PRESENT BNP PARIBAS S.A. AND BNP PARIBAS SECURITIES CORP. FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO THE BUSINESS OF THE FUTURE COMMISSION MERCHANT, IN WILLFUL VIOLATION OF SECTIONS 4S(F)(1… | Final | $75.0M |
| 2022-07-05 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") ALLEGED THAT, FROM AT LEAST 2016 THROUGH 2021, BNP PARIBAS ("BNPP") FAILED TO CORRECTLY REPORT NUMEROUS SWAP TRANSACTIONS AS REQUIRED BY THE COMMODITY EXCHANGE ACT ("CEA") AND CEA REGULATIONS, AND THAT FROM 2016 THROUGH 2017, BNPP ADJUSTED DAILY MARK… | Final | $6.0M |
| 2022-01-28 | regulatory | THE AMF'S ALLEGATIONS AGAINST BNP PARIBAS ASSET MANAGEMENT (BNPP AM AND FORMERLY BNP PARIBAS ASSET MANAGEMENT FRANCE) RELATE TO: 1. INADEQUATE STRUCTURING OF THE FUNDS 2. MISLEADING OR INSUFFICIENT INVESTOR INFORMATION 3. DEFICIENCIES IN THE INTERNAL CONTROL SYSTEM | Final | $700K |
| 2020-04-07 | regulatory | FOLLOWING A REVIEW CARRIED OUT BY THE AMF THAT COMMENCED IN JUNE 2018 ON THE MARKETING OF CERTAIN REAL ESTATE AND COMPLEX DEBT FINANCIAL INSTRUMENTS BY BNP PARIBAS, ACTING AS AN INVESTMENT SERVICES PROVIDER, TO RETAIL BANKING CLIENTS IN 2017, THE AMF POINTED OUT CERTAIN DEFAULTS REGARDING (I) THE RE… | Final | $600K |
| 2018-12-11 | regulatory | THE AMF'S COMMISSION DES SANCTIONS IDENTIFIED FOUR MAIN CATEGORIES OF ALLEGED BREACHES BY BNP PARIBAS SECURITIES SERVICES (BP2S) IN CONNECTION WITH ITS ROLE AS TENEUR DE COMPTE-CONSERVATEUR (TCC) DURING THE 2018 PROXY VOTING SEASON. THESE ISSUES RELATE TO HOW BP2S PROCESSED VOTING INSTRUCTIONS FOR I… | Final | $1.2M |
| 2015-12-09 | regulatory | PURSUANT TO A REVIEW THAT HAD COMMENCED IN DECEMBER 2015,THE AMF FOUND CERTAIN DEFAULTS IN THE COMPLIANCE CONTROL SYSTEMS OUT BY BNP PARIBAS' LONDON BRANCH. SPECIFICALLY, THE AMF FOUND THAT SUCH COMPLIANCE CONTROL SYSTEMS DID NOT ENSURE AN ADEQUATE MANAGEMENT OF INSIDE INFORMATION IN THE CONTEXT OF… | Final | $460K |
| 2015-07-27 | regulatory | THE AMF'S ALLEGATIONS AGAINST BNP PARIBAS ARBITRAGE RELATE TO: 1. FAILURE TO DECLARE SUSPICIOUS TRANSACTIONS 2. DEFICIENT COMPLIANCE ORGANISATION AND DELEGATION ISSUES 3. TECHNICAL FAILURE IN AUTOMATED DETECTION | Final | $60K |
| 2015-07-27 | regulatory | PURSUANT TO A REVIEW THAT HAD COMMENCED JULY 2015, THE AMF FOUND (I) THAT ON THE 31ST DECEMBER 2014, BNP PARIBAS, ACTING AS AN INVESTMENT SERVICES PROVIDER CARRYING ON RECEPTION AND TRANSMISSION OF ORDERS ON BEHALF OF THIRD PARTY, DID NOT REPORT TO THE AMF SOME ORDERS ON A LISTED SECURITY THAT COULD… | Final | $240K |


## Private funds (2)

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| AXA IM GLOBAL HEALTH FUND SCSP SICAV-RAIF | Private Equity Fund | Luxembourg | 11 | $294.0M | $3.0M |
| AXA GLOBAL HEALTH IMPACT OPPORTUNITIES FUND SA SICAV-RAIF | Private Equity Fund | Luxembourg | 1 | $70.7M | $1.0M |


## Fund service providers (1)

- administrator: THE BANK OF NEW YORK MELLON SA/NV, LUXEMBOURG BRANCH — 2 funds

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/319562/brochure
- Similar advisers: https://search.stillhousedata.com/firm/319562/similar
- Related entities: https://search.stillhousedata.com/firm/319562/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/319562

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.