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Responsability Investments AG: investment adviser
Responsability Investments AG is an investment adviser registered with the SEC (file 802-118625, CRD 307488). What it reports on Form ADV: assets and clients, fees, owners, disciplinary history and its client brochure. From the SEC's Investment Adviser Public Disclosure site; read Oct 21, 2026.
- Assets managed
- –
- Discretionary
- –
- Accounts
- –
- Employees
- –
- In advisory roles
- –
- Disclosures
- 2
Company page · SEC adviser record · Full Form ADV (PDF)
The firm reports no custody of client cash or securities.
Form ADV Part 1A, Item 5, as filed on the SEC Investment Adviser Public Disclosure site; read Oct 21, 2026.
Who owns it
Schedule A lists direct owners of 5% or more (and officers who own a stake); Schedule B lists the owners of those owners.
Direct owners (Schedule A)
| Owner | Type | Role | Stake | Since | Control | Public company |
|---|---|---|---|---|---|---|
| M&G Fa Limited | Company (outside the U.S.) | Shareholder | E 75% or more | May 2022 | Yes |
Indirect owners (Schedule B)
| Owner | Owns a stake in | Type | Stake | Control | Public company |
|---|---|---|---|---|---|
| M&G Group Limited | M&G Fa Limited | Company (outside the U.S.) | E 75% or more | Yes | |
| M&G Group Regulated Entity Holding Company Limited | M&G Group Limited | Company (outside the U.S.) | E 75% or more | Yes | |
| M&G PLC | M&G Group Regulated Entity Holding Company Limited | Company (outside the U.S.) | E 75% or more | Yes |
Form ADV reports ownership in bands, not exact stakes: A means 5% to 10%, B 10% to 25%, C 25% to 50%, D 50% to 75%, E 75% or more. F marks a general partner, trustee or managing member, a role that controls the firm without a percentage. Owners of less than 5% are not listed.
Form ADV Schedules A and B, via the SEC Investment Adviser Public Disclosure site.
Disciplinary history
What the firm disclosed under Item 11 of Form ADV. A disclosure is the firm's own report: pending matters are allegations, not findings, and many settlements are made without admitting or denying them. Text is quoted from the filing, set in sentence case.
Item 11 questions answered Yes
These questions cover the firm and its advisory affiliates.
- Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?
Actions about affiliates (1)
- Sep 30, 2019Regulatory Action: United Kingdom Financial Services Authority FinalAbout an affiliate: The Prudential AssuranceSanctions: Civil and Administrative Penalt(ies) /Fine(s) · Fine: $28.9M · Begun Oct 1, 2019 · Resolved Sep 30, 2019 · Consent · Docket 139793
The FCA's enforcement division has concluded that,between 1 JULY2008 and 30 September 2017,prudential failed to take reasonable care in relation to non-advised sales of annuities to existing customerswho were approaching retirement and who may have been eligible for a betterannuity rate on the open market than the one they got from prudential assurance company. The FCA found that prudential assurance companyhad failed to take reasonable care toorganise and control its affairs responsibly and effectively, thus failing to treat customers fairly. It also found that the call documentation and incentives provided to front- line sales staff increased the risk of customer detriment.
FCA enforcement have completed their investigation and published their findings on 30 September 2019. £23.9m fine, inc 30% discount for early settlement, to be paid by 14 October 2019. No information Filed
Disclosures filed elsewhere
The firm's Form ADV names these and the kind of action only; the details are on the named firm's own filing.
- 1 regulatory action disclosure about M&G Investment
Form ADV Item 11 and its Disclosure Reporting Pages, via the SEC record. All adviser disciplinary records.
The brochure
No brochure text was read for this firm.
Form ADV Part 2A, via the SEC Investment Adviser Public Disclosure site.