July 24, 2016 7:13 AM ET

Capital Markets

Company Overview of Federated Global Investment Management Corp.

Company Overview

Federated Global Investment Management Corp. is a privately owned investment manager. The firm primarily provides its services to individuals. It also caters to high net worth individuals, banking or thrift institutions, investment companies, pooled investment vehicles, pension and profit sharing plans, charitable organizations, and corporations. The firm manages separate client-focused equity and balanced portfolios. It manages equity, fixed income, and balanced mutual funds for its clients. The firm invests in the public equity and fixed income markets across the globe. It employs a combination of fundamental analysis and quantitative analysis to make its investments. The firm conducts in-...

101 Park Avenue

Suite 4100

New York, NY 10178-0002

United States

Founded in 1995

Phone:

212-905-4100

Fax:

412-288-3939

Key Executives for Federated Global Investment Management Corp.

President, Chief Executive Officer, and Director
Age: 60
Executive Vice President and Chief Investment Officer of Equity
Age: 60
Senior Vice President and Senior Portfolio Manager
Age: 55
Chief Equity Market Strategist, Senior Vice President, and Portfolio Manager
Senior Vice President and Portfolio Manager
Age: 49
Compensation as of Fiscal Year 2016.

Federated Global Investment Management Corp. Key Developments

Federated Global Investment Management Corp. Settles Charges with the SEC

Federated Global Investment Management Corp. has settled charges with the SEC regarding alleged violation of the Advisers Act. The company has agreed to be censured and to pay a penalty of $1.5 million to the SEC. The SEC said the company acted as sub-adviser to Federated Kaufmann Funds from 2001 to 2010. During that period, the company used the services of a consultant who was a director on the boards of four publicly traded biotechnology companies whose securities were traded by the funds. The consultant worked with the company's investment management professionals and provided recommendations on pharmaceutical and biotechnology stocks. The SEC alleged that the company failed to maintain procedures for identifying outside consultants who should be subject to oversight by the compliance department. The company was unaware that the consultant possessed confidential information regarding the companies and failed to prevent the misuse of confidential information. The SEC noted that the company terminated the consulting agreement in May 2010 after it became aware that the consultant was serving on the boards of the companies and has adopted procedures to prevent future violations.

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Recent Private Companies Transactions

Type
Date
Target
No transactions available in the past 12 months.
 

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