POLUS CAPITAL MANAGEMENT (US) INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 323283). Regulatory assets under management: $1.2B.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Nicholas Ian Chalmers | DIRECTOR | — |
| David Dae Kim | DIRECTOR | — |
| Stefano Nmn Dova | DIRECTOR | — |
| Annalisa Nmn Rotunno | DIRECTOR | — |
| Frank Nmn Goasguen | DIRECTOR | — |
| Andrew Lindsay Burke | CHIEF INVESTMENT OFFICER - LEVERAGED LOANS / DIRECTOR | — |
| William Robert Cannon | CHIEF COMPLIANCE OFFICER | — |
| Shaun Rowan Wood | CHIEF COMPLIANCE OFFICER | — |
| Dorota Joanna Holowiak | CHIEF COMPLIANCE OFFICER | — |
| GOASGUEN FRANK | DIRECTOR | — |
| GOODE JACQUELINE MARIE | CHIEF COMPLIANCE OFFICER | — |
| Holowiak Dorota Joanna | CHIEF COMPLIANCE OFFICER | — |
| CHALMERS NICHOLAS IAN | DIRECTOR | — |
| Burke Andrew Lindsay | CHIEF INVESTMENT OFFICER - LEVERAGED LOANS / DIRECTOR | — |
| Davison Melanie Jane | CHIEF COMPLIANCE OFFICER | — |
| KIM DAVID DAE | DIRECTOR | — |
| DOVA STEFANO NMN | DIRECTOR | — |
| ROTUNNO ANNALISA NMN | DIRECTOR | — |
| GOASGUEN FRANK NMN | DIRECTOR | — |
| Dova Stefano | DIRECTOR | — |
| Rotunno Annalisa | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-05-03 | regulatory | SHORTCOMINGS IN TRANSPARENCY AND FAIRNESS IN CUSTOMER RELATIONS AND INCORRECT APPLICATION OF COMMISSIONS. THESHORTCOMINGS HAVE BEEN REMEDIED. | Final | $3.1M |
| 2019-12-17 | regulatory | WEAKNESS IN THE AML CUSTOMER DUE DILIGENCE AND SUSPICIOUS ACTIVITY REPORTING PROCESSES. THE SHORTCOMINGS HAVE BEEN REMEDIED. | Final | $1.4M |
| 2017-02-17 | regulatory | ALLEGED BREACH OF RULES ON DISCLOSURE OBLIGATION TO THE MARKET IN RELATION TO A TRANSACTION REGARDING AN ITALIAN LISTED COMPANY ACTIVE IN THE TMT SECTOR | Final | $87K |
| 2015-12-16 | regulatory | ALLEGED BREACH OF DISCLOSURE OF NET SHORT POSITIONS ON THE SHARES OF AN ITALIAN LISTED COMPANY ACTIVE IN THE TMT SECTOR | Final | — |
| 2014-11-17 | regulatory | CONSOB ALLEGED MISSING OR DELAYED ENTRIES IN THREE REGISTERS HELD FOR MARKET ABUSE PURPOSES IN RELATION TO THREE BOOK BUILDING TRANSACTIONS OCCURED IN 2013 AND 2014. | Final | $17K |
| 2003-12-01 | civil | ON DECEMBER 18, 2002, THE ITALIAN STOCK MARKET REGULATOR ("CONSOB"), RULED THAT MEDIOBANCA ACTED IN CONCERT WITH OTHER COMPANIES DURING THEIR COMBINED PURCHASE OF MORE THAN 30% OF THE SHARE CAPITAL OF LA FONDIARIA ASSICURAZIONI S.P.A. ("FONDIARIA", NOW UNIPOLSAI ASSICURAZIONI S.P.A. ("UNIPOLSAI") IN… | Final | — |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| POLUS US CLO II LTD. | Securitized Asset Fund | Cayman Islands | 3 | $409.0M | $250K |
| POLUS US CLO I LTD. | Securitized Asset Fund | Bermuda | 3 | $408.9M | $250K |
| POLUS US CLO III LTD. | Securitized Asset Fund | Cayman Islands | 3 | $365.4M | $250K |
| City | State | Employees | Phone |
|---|---|---|---|
| — | — | 1 | (646) 689-4107 |
| — | — | 1 | (646) 689-4107 |