Jupiter Asset Management Limited

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 

If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
No Information Filed
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
BAFIN - FEDERAL FINANCIAL SUPERVISORY AUTHORITY
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
04/05/2016
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
WA 17-WP 3120-2010/0024 WA 17-WP 3120-2012/0105 TO -/0110 WA 17-WP 3120-2012/0189 WA 17-WP 3120-2013/0117 TO -/0122
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
THE FEDERAL FINANCIAL SUPERVISORY AUTHORITY OF GERMANY ("BAFIN") ALLEGED THAT JUPITER ASSET MANAGEMENT LIMITED ("JAM UK") DID NOT
HAVE SUFFICIENT PROCEDURES IN PLACE TO ENSURE COMPLIANCE WITH GERMAN LAW REGARDING NOTIFICATION OF BAFIN OF SIGNIFICANT
SHAREHOLDERS IN GERMAN SECURITIES
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Decision & Order of Offer of Settlement
11. Resolution Date (MM/DD/YYYY):
05/06/2016
 Exact
 Explanation
If not exact, provide explanation:

12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 55,690.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
NONE
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
THE FEDERAL FINANCIAL SUPERVISORY AUTHORITY OF GERMANY ("BAFIN") ALLEGED THAT JAM UK DID NOT HAVE SUFFICIENT PROCEDURES IN PLACE
TO ENSURE COMPLIANCE WITH GERMAN LAW REGARDING NOTIFICATION OF BAFIN OF SIGNIFICANT SHAREHOLDERS IN GERMAN SECURITIES. JAM UK
PAID THE ADMINISTRATIVE FINE ON MAY 6TH 2016.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
155958
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
JUPITER INVESTMENT
MANAGEMENT LIMITED
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.

If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
FOREIGN - DANISH FINANCIAL SUPERVISORY AUTHORITY
2.
Principal Sanction:
Reprimand
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
01/25/2018
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
J.NO. 6379-0091
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
PURSUANT TO REGULATION (EU) NO. 236/2012 ON SHORT SELLING (THE "REGULATION"), MERIAN GLOBAL INVESTORS (UK) LIMITED ("MGI") IS
REQUIRED TO FILE NET SHORT POSITION REPORTS (THE "REPORTS") WITH THE DANISH FINANCIAL SUPERVISORY AUTHORITY ("DANISH FSA") WHEN
CERTAIN PRESCRIBED THRESHOLDS ARE CROSSED. IN NOVEMBER 2017, MGI'S COMPLIANCE FUNCTION IDENTIFIED AN ERROR IN THE MONITORING OF
SUCH THRESHOLDS. MGI IMMEDIATELY COMMENCED AN IN-DEPTH ANALYSIS OF ALL DISCLOSURE REQUIREMENTS IN ORDER TO ESTABLISH THE
UNDERLYING CAUSE AND TO DETERMINE THE EXTENT OF THE ISSUE. ON JANUARY 25 2018, MGI NOTIFIED THE DANISH FSA OF ITS INADVERTENT
FAILURE TO FILE THE REPORTS DURING THE PERIOD BETWEEN SEPTEMBER 2015 AND JANUARY 2018. MGI FILED THE DELINQUENT REPORTS AND PUT
APPROPRIATE CONTROLS IN PLACE TO MITIGATE THE RISK OF THE ERROR REOCCURRING. THE DANISH FSA SUBSEQUENTLY FOUND THAT MGI
BREACHED THE REGULATION BY FAILING TO FILE SUCH REPORTS.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Consent
11. Resolution Date (MM/DD/YYYY):
05/08/2018
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $
 Revocation/Expulsion/Denial
 Disgorgement/Restitution

 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
SEE DETAILS IN NUMBER 13 BELOW
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ON MAY 8 2018, THE DANISH FSA DETERMINED THAT MERIAN GLOBAL INVESTORS (UK) ("MGI"), NOW KNOWN AS JUPITER INVESTMENT MANAGEMENT
LIMITED, BREACHED THE REGULATION AND ISSUED A REPRIMAND. ON MAY 24 2018, THE DANISH FSA PUBLISHED INFORMATION REGARDING THE
REPRIMAND ON ITS WEB PAGE.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
155958
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
JUPITER INVESTMENT
MANAGEMENT LIMITED
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 

B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
FOREIGN- COMISION NACIONAL DEL MERCADO DE VALORES IN SPAIN
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
01/10/2018
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
NO. 2018046592
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
PURSUANT TO REGULATION (EU) NO. 236/2012 ON SHORT SELLING (THE "REGULATION"), MERIAN GLOBAL INVESTORS (UK) LIMITED ("MGI") IS
REQUIRED TO FILE NET SHORT POSITION REPORTS (THE "REPORTS") WITH THE COMISION NACIONAL DEL MERCADO DE VALORES IN SPAIN ("CNMV")
WHEN CERTAIN PRESCRIBED THRESHOLDS ARE CROSSED. IN NOVEMBER 2017, MGI'S COMPLIANCE FUNCTION IDENTIFIED AN ERROR IN THE
MONITORING OF SUCH THRESHOLDS. MGI IMMEDIATELY COMMENCED AN IN-DEPTH ANALYSIS OF ALL DISCLOSURE REQUIREMENTS IN ORDER TO
ESTABLISH THE UNDERLYING CAUSE AND TO DETERMINE THE EXTENT OF THE ISSUE. ON JANUARY 10 2018, MGI NOTIFIED THE CNMV OF ITS
INADVERTENT FAILURE TO FILE THE REPORTS DURING THE PERIOD BETWEEN JULY 2014 AND DECEMBER 2017. MGI FILED THE DELINQUENT REPORTS
AND PUT APPROPRIATE CONTROLS IN PLACE TO MITIGATE THE RISK OF THE ERROR REOCCURRING. CNMV SUBSEQUENTLY FOUND THAT MGI BREACHED
THE REGULATION BY FAILING TO FILE SUCH REPORTS.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Consent
11. Resolution Date (MM/DD/YYYY):
06/08/2018
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 225,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to

requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
SEE DETAILS IN NUMBER 13 BELOW
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ON APRIL 12 2018, CNMV ISSUED AN ADMINISTRATIVE SANCTION THAT DETERMINED THAT MERIAN GLOBAL INVESTORS (UK) ("MGI"), NOW KNOWN AS
JUPITER INVESTMENT MANAGEMENT LIMITED, BREACHED THE REGULATION AND IMPOSED A FINE OF EUR 200,000 (APPROXIMATELY USD 225,000).
BECAUSE MGI COMPLIED WITH CERTAIN TERMS AND CONDITIONS OF THE SANCTION, MGI WAS ELIGIBLE FOR A 40% REDUCTION OF THE FINE (EUR
80,000). MGI PAID THE REDUCED FINE IN THE AMOUNT OF EUR 120,000 (APPROXIMATELY USD 135,000) EFFECTIVE JUNE 8 2018.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
155958
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
JUPITER INVESTMENT
MANAGEMENT LIMITED
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No

NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
FOREIGN - FINANSINSPEKTION (THE SWEDISH FINANCIAL SUPERVISORY AUTHORITY)
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
01/18/2018
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
FI REF. NO. 18-3251
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
PURSUANT TO REGULATION (EU) NO. 236/2012 ON SHORT SELLING (THE "REGULATION"), JUPITER INVESTMENT MANAGEMENT LIMITED ("JIML") IS
REQUIRED TO FILE NET SHORT POSITION REPORTS (THE "REPORTS") WITH FINANSINSPEKTIONEN (THE SWEDISH FINANCIAL SUPERVISORY
AUTHORITY) ("SWEDISH FSA") WHEN CERTAIN PRESCRIBED THRESHOLDS ARE CROSSED. IN NOVEMBER 2017, THE COMPLIANCE FUNCTION OF MERIAN
GLOBAL INVESTORS (UK) LIMITED ("MGI"), NOW KNOWN AS JIML, IDENTIFIED AN ERROR IN THE MONITORING OF SUCH THRESHOLDS. MGI
IMMEDIATELY COMMENCED AN IN-DEPTH ANALYSIS OF ALL DISCLOSURE REQUIREMENTS IN ORDER TO ESTABLISH THE UNDERLYING CAUSE AND TO
DETERMINE THE EXTENT OF THE ISSUE. ON JANUARY 18 2018, MGI NOTIFIED THE SWEDISH FSA OF ITS INADVERTENT FAILURE TO FILE THE REPORTS
DURING THE PERIOD BETWEEN APRIL 2016 AND JANUARY 2018. MGI FILED THE DELINQUENT REPORTS AND PUT APPROPRIATE CONTROLS IN PLACE TO
MITIGATE THE RISK OF THE ERROR REOCCURRING. THE SWEDISH FSA SUBSEQUENTLY FOUND THAT MGI BREACHED THE REGULATION BY FAILING TO
FILE SUCH REPORTS.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Consent
11. Resolution Date (MM/DD/YYYY):
08/18/2021
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 80,436.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
SEE DETAILS IN NUMBER 13 BELOW

13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
"ON JUNE 24, 2021, THE SWEDISH FSA DETERMINED THAT MGI BREACHED THE REGULATION AND ISSUED A PENALTY FEE OF SEK 700,000
(APPROXIMATELY $80,436). JUPITER INVESTMENT MANAGEMENT LIMITED PAID THE PENALTY FEE TO FINANSINSPEKTIONEN ON AUGUST 18 2021."

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
155958
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
JUPITER INVESTMENT
MANAGEMENT LIMITED
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 

(
g
g
g
y
y
)
THE AUTORITEIT FINANCIELE MARKTEN (THE NETHERLANDS AUTHORITY FOR FINANCIAL MARKETS)
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
01/18/2018
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
PURSUANT TO REGULATION (EU) NO. 236/2012 ON SHORT SELLING (THE "REGULATION"), JUPITER INVESTMENT MANAGEMENT LIMITED ("JIML") IS
REQUIRED TO FILE NET SHORT POSITION REPORTS (THE "REPORTS") WITH THE AUTORITEIT FINANCIELE MARKTEN (THE DUTCH FINANCIAL
SUPERVISORY AUTHORITY) WHEN CERTAIN PRESCRIBED THRESHOLDS ARE CROSSED. IN NOVEMBER 2017, THE COMPLIANCE FUNCTION OF MERIAN
GLOBAL INVESTORS (UK) LIMITED ("MGI"), NOW KNOWN AS JIML, IDENTIFIED AN ERROR IN THE MONITORING OF SUCH THRESHOLDS. MGI
IMMEDIATELY COMMENCED AN IN-DEPTH ANALYSIS OF ALL DISCLOSURE REQUIREMENTS IN ORDER TO ESTABLISH THE UNDERLYING CAUSE AND TO
DETERMINE THE EXTENT OF THE ISSUE. ON JANUARY 18 2018, MGI NOTIFIED THE AUTORITEIT FINANCIELE MARKTEN OF ITS INADVERTENT FAILURE TO
FILE THE REPORTS DURING THE PERIOD BETWEEN APRIL 2016 AND JANUARY 2018. MGI FILED THE DELINQUENT REPORTS AND PUT APPROPRIATE
CONTROLS IN PLACE TO MITIGATE THE RISK OF THE ERROR REOCCURRING. THE AUTORITEIT FINANCIELE MARKTEN SUBSEQUENTLY FOUND THAT MGI
BREACHED THE REGULATION BY FAILING TO FILE SUCH REPORTS.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Consent
11. Resolution Date (MM/DD/YYYY):
12/10/2021
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 298,353.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
SEE DETAILS IN NUMBER 13 BELOW
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ON JUNE 24, 2021, THE AUTORITEIT FINANCIELE MARKTEN DETERMINED THAT MGI BREACHED THE REGULATION AND ISSUED A PENALTY FEE OF EUR
250,000. JUPITER INVESTMENT MANAGEMENT LIMITED PAID THE PENALTY FEE TO AUTORITEIT FINANCIELE MARKTEN ON DECEMBER 10 2021.

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
155958
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
JUPITER INVESTMENT
MANAGEMENT LIMITED
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
FOREIGN - COMMISSIONE NAZIONALE PER LE SOCIETA E LA BORSA (CONSOB)
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 

(
)
01/10/2018
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
RESOLUTION NO. 20749
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
PURSUANT TO REGULATION (EU) NO. 236/2012 ON SHORT SELLING (THE "REGULATION"), MERIAN GLOBAL INVESTORS (UK) LIMITED ("MGI") IS
REQUIRED TO FILE NET SHORT POSITION REPORTS (THE "REPORTS") WITH THE COMMISSIONE NAZIONALE PER LE SOCIETA E LA BORSA ("CONSOB")
WHEN CERTAIN PRESCRIBED THRESHOLDS ARE CROSSED. IN NOVEMBER 2017, MGI'S COMPLIANCE FUNCTION IDENTIFIED AN ERROR IN THE
MONITORING OF SUCH THRESHOLDS. MGI IMMEDIATELY COMMENCED AN IN-DEPTH ANALYSIS OF ALL DISCLOSURE REQUIREMENTS IN ORDER TO
ESTABLISH THE UNDERLYING CAUSE AND TO DETERMINE THE EXTENT OF THE ISSUE. ON JANUARY 10 2018, MGI NOTIFIED THE CONSOB OF ITS
INADVERTENT FAILURE TO FILE THE REPORTS DURING THE PERIOD BETWEEN JULY 2014 AND JANUARY 2018. MGI FILED THE DELINQUENT REPORTS
AND PUT APPROPRIATE CONTROLS IN PLACE TO MITIGATE THE RISK OF THE ERROR REOCCURRING. CONSOB SUBSEQUENTLY FOUND THAT MGI
BREACHED THE REGULATION BY FAILING TO FILE SUCH REPORTS. IN MAKING ITS DETERMINATION, CONSOB NOTED THAT THE BREACH DID NOT
MISLEAD INVESTORS OR GENERATE ANY PROFIT FOR MGI. ADDITIONALLY, MGI ADOPTED A COLLABORATIVE APPROACH WITH CONSOB AND DID NOT
HAVE ANY PREVIOUS VIOLATIONS SANCTIONED BY CONSOB CONCERNING FINANCIAL MATTERS.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Consent
11. Resolution Date (MM/DD/YYYY):
02/04/2019
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 180,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
SEE DETAILS IN NUMBER 13 BELOW
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
ON DECEMBER 13 2018, CONSOB ISSUED AN ADMISNTRATIVE SANCTION THAT DETERMINED THAT MGI BREACHED THE REGULATION AND IMPOSED A
FINE OF EUR 160,000 (APPROXIMATELY USD 180,000). MGI PAID THE FINE IN FULL EFFECTIVE FEBRUARY 4 2019.