HAUSSMANN 1864 CAPITAL MANAGEMENT LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 332278). Regulatory assets under management: $4.6B.
Compensation: % of AUM, Fixed.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| STEPHANE ABOUT | DIRECTOR | NEW YORK, NY |
| Joseph Falcone | CHIEF EXECUTIVE OFFICER | — |
| Christopher William Ruffino | CHIEF FINANCIAL OFFICER | — |
| Marc Michel Cacchioli | CHIEF OPERATING OFFICER | — |
| Gregory W Zielinski | DIRECTOR | — |
| George Talarico | CHIEF COMPLIANCE OFFICER | — |
| Gregory Wayne Maccordy | CHIEF COMPLIANCE OFFICER; DIRECTOR | — |
| SCHWARZ JOHN MARTIN | CHIEF COMPLIANCE OFFICER | — |
| DELMON SEBASTIEN ALDRIC | VICE PRESIDENT | — |
| Falcone Joseph | CHIEF EXECUTIVE OFFICER | — |
| RUFFINO CHRISTOPHER WILLIAM | CHIEF FINANCIAL OFFICER | — |
| Jean-Yves Fillion | DIRECTOR | — |
Showing 10 of 60 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-11-20 | regulatory | THE FINANCIAL SERVICES COMMISSION ("FSC") ISSUED A FINAL NOTICE OF PENALTY AGAINST SOCIETE GENERALE, FINDING THAT BETWEEN OCTOBER 12, 2021 AND DECEMBER 23, 2022, SOCIETE GENERALE VIOLATED SHORT SELL REGULATIONS UNDER ARTICLE 180, PARAGRAPH 1, ITEM 1 OF THE FINANCIAL INVESTMENT SERVICES AND CAPITAL M… | Final | $520K |
| 2023-08-08 | regulatory | THE CFTC ENTERED INTO A SETTLEMENT ORDER ("ORDER") WITH SG AMERICAS SECURITIES LLC ("SGAS") AND SOCIÉTÉ GÉNÉRALE S.A. ("SOCIÉTÉ GÉNÉRALE" AND COLLECTIVELY, WITH SGAS THE "RESPONDENTS") TO SETTLE AN ADMINISTRATIVE ACTION CONCERNING (A) SOCIÉTÉ GÉNÉRALE'S FAILURE TO MAINTAIN REQUIRED RECORDS IN VIOLAT… | Final | $75.0M |
| 2023-08-08 | regulatory | THE CFTC ENTERED INTO A SETTLEMENT ORDER ("ORDER") WITH SG AMERICAS SECURITIES LLC ("SGAS") AND SOCIETE GENERALE S.A. ("SOCIETE GENERALE" AND COLLECTIVELY, WITH SGAS THE "RESPONDENTS") TO SETTLE AN ADMINISTRATIVE ACTION CONCERNING (A) SOCIETE GENERALE'S FAILURE TO MAINTAIN REQUIRED RECORDS IN VIOLAT… | Final | $75.0M |
| 2022-08-02 | regulatory | ICE CLEAR CREDIT ("ICE CLEAR") ISSUED A $71,000 ASSESSMENT TO SOCIETE GENERALE (SG) FOR 7A MISSED END OF DAY CREDIT DEFAULT SWAP PRICING SUBMISSIONS IN JULY 2022. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS UNDER ICE CLEAR RULE 702(E), PURSUANT TO WHICH ASSESSMENT… | Final | $71K |
| 2022-08-02 | regulatory | ICE CLEAR CREDIT ("ICE CLEAR") ISSUED A $71,000 ASSESSMENT TO SOCIÉTÉ GÉNÉRALE (SG) FOR 7A MISSED END OF DAY CREDIT DEFAULT SWAP PRICING SUBMISSIONS IN JULY 2022. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS UNDER ICE CLEAR RULE 702(E), PURSUANT TO WHICH ASSESSMENT… | Final | $71K |
| 2022-02-22 | regulatory | SOCIÉTÉ GÉNÉRALE (SG) WAS THE SUBJECT OF AN ON-SITE EXAMINATION IN 2019 FROM THE BDF CONCERNING THE ELIGIBILITY OF PRIVATE LOANS REMITTED AS COLLATERAL FOR SG'S INTRA-DAY REFINANCING FROM THE BDF. THE BDF FOUND THAT CERTAIN OF THE PRIVATE LOANS SUBMITTED BY SG DID NOT COMPLY WITH FRENCH REGULATORY P… | Final | $71K |
| 2022-02-22 | regulatory | SOCIETE GENERALE (SG) WAS THE SUBJECT OF AN ON-SITE EXAMINATION IN 2019 FROM THE BDF CONCERNING THE ELIGIBILITY OF PRIVATE LOANS REMITTED AS COLLATERAL FOR SG'S INTRA-DAY REFINANCING FROM THE BDF. THE BDF FOUND THAT CERTAIN OF THE PRIVATE LOANS SUBMITTED BY SG DID NOT COMPLY WITH FRENCH REGULATORY P… | Final | $71K |
| 2021-09-29 | regulatory | THE CFTC ALLEGED THAT FROM APPROXIMATELY 2013 TO JULY 2021, SOCIÉTÉ GÉNÉRALE (SG), AS A SWAP DEALER, FAILED TO DILIGENTLY SUPERVISE ITS PROCESS FOR DISCLOSING CFTC-REQUIRED MID-MARKET MARKS TO ELIGIBLE COUNTERPARTIES AND REPORTING VALUATIONS TO A SWAP DATA REPOSITORY (SDR). SPECIFICALLY, FOR MANY YE… | Final | $1.5M |
| 2021-09-29 | regulatory | THE CFTC ALLEGED THAT FROM APPROXIMATELY 2013 TO JULY 2021, SOCIETE GENERALE (SG), AS A SWAP DEALER, FAILED TO DILIGENTLY SUPERVISE ITS PROCESS FOR DISCLOSING CFTC-REQUIRED MID-MARKET MARKS TO ELIGIBLE COUNTERPARTIES AND REPORTING VALUATIONS TO A SWAP DATA REPOSITORY (SDR). SPECIFICALLY, FOR MANY YE… | Final | $1.5M |
| 2021-09-03 | regulatory | ICE CLEAR CREDIT LLC ("ICE CLEAR") ISSUED A $10,000 ASSESSMENT TO SOCIÉTÉ GÉNÉRALE ("SG") FOR 18 MISSED END OF DAY CREDIT DEFAULT SWAP PRICING SUBMISSIONS IN AUGUST 2021. THE ASSESSMENT WAS CALCULATED ACCORDING TO ICE CLEAR'S SCHEDULE OF ASSESSMENTS UNDER ICE CLEAR RULE 702(E), PURSUANT TO WHICH ASS… | Final | $10K |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| LIBERTY CLO I DESIGNATED ACTIVITY COMPANY | Securitized Asset Fund | Ireland | 2 | $844.7M | — |