Gerald Cummins

Compliance Officer at PENNANTPARK FLOATING RATE CAPITAL LTD.

71 year

Finance

Miscellaneous

Commercial Services

Profile

Gerald R.
Cummins is Director at Foreside Consulting Services LLC since 2014 and Director at Foreside Financial Group LLC (New York) since 2022.
Holds Chief Compliance Officer roles at Oxford Park Management LLC, Oxford Park Income Fund, Inc., Oxford Square Capital Corp.
since 2015, Oxford Lane Capital Corp.
since 2015, Oxford Square Management LLC since 2015, Oxford Bridge Management LLC, Oxford Gate Management, LLC, PennantPark Investment Corp.
starting 2025, and PennantPark Floating Rate Capital Ltd. starting 2025.
Formerly Managing Director at Bear Stearns Asset Management, Inc. from 1980 to 2008.
Served as Director at Alaric Compliance Services LLC.
Chief Financial & Compliance Officer and Chief Financial Officer at New Castle Funds LLC from 2009 to 2011.
Chief Operating Officer/Chief Compliance Officer at BroadArch Capital LLC from 2010 to 2011.
Chief Compliance Officer at Investcorp Credit Management BDC, Inc. Graduated undergraduate from Fordham University in 1983.

Gerald Cummins active positions

Companies	Position	Start
OXFORD SQUARE CAPITAL CORP.	Compliance Officer	24/06/2015
OXFORD LANE CAPITAL CORP.	Compliance Officer	01/06/2015
PENNANTPARK INVESTMENT CORPORATION	Compliance Officer	15/04/2025
PENNANTPARK FLOATING RATE CAPITAL LTD.	Compliance Officer	01/09/2025
Oxford Square Management LLC Oxford Square Management LLC Investment ManagersFinance Oxford Square invests in companies located in the United States. The firm focuses on a broad range of sectors and industries. It participates in MBO and growth capital transactions.	Compliance Officer	01/06/2015
Foreside Consulting Services LLC Foreside Consulting Services LLC Miscellaneous Commercial ServicesCommercial Services Provides compliance and regulatory solution services	Director/Board Member	01/06/2014
OXFORD PARK MANAGEMENT LLC	Corporate Officer/Principal	-
Oxford Park Income Fund, Inc. Oxford Park Income Fund, Inc. Investment Trusts/Mutual FundsMiscellaneous Functions as an open-end investment fund	Compliance Officer	-
SIH ACA Topco LP SIH ACA Topco LP Miscellaneous Commercial ServicesCommercial Services Provides governance, risk and compliance advisory services in financial	Director/Board Member	01/05/2022
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All active positions of Gerald Cummins

Former positions of Gerald Cummins

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See the detail of Gerald Cummins's experience

Training of Gerald Cummins

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Private companies

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Linked companies

Private companies	17
Bear Stearns Asset Management, Inc. Bear Stearns Asset Management, Inc. Investment ManagersFinance Bear Stearns Asset Management, Inc. is an asset management firm and broker/dealer located in New York City. The firm is a subsidiary of JPMorgan Asset Management, Inc. and their ultimate parent is JPMorgan Chase & Co., Inc. (NYSE: JPM). They manage equity and fixed-income separate accounts, mutual funds, hedge funds, private equity funds and venture capital funds. Their clients include corporations, municipal governments, multi-employer plans, endowments, foundations, family groups and high net-worth individuals	Finance
Oxford Square Capital Corp. Oxford Square Capital Corp. Investment Trusts/Mutual FundsMiscellaneous Operates as a closed-end investment management company	Miscellaneous
PennantPark Investment Corp. PennantPark Investment Corp. Investment Trusts/Mutual FundsMiscellaneous Provides investors with access to middle market credit	Miscellaneous
Oxford Lane Capital Corp. Oxford Lane Capital Corp. Financial ConglomeratesFinance Operates as a closed-end management investment company	Finance
PennantPark Floating Rate Capital Ltd. PennantPark Floating Rate Capital Ltd. Investment Trusts/Mutual FundsMiscellaneous Functions as a closed-end investment fund or Investment trust	Miscellaneous
Fordham University Fordham University Other Consumer ServicesConsumer Services Functions as a College/University	Consumer Services
Oxford Square Management LLC Oxford Square Management LLC Investment ManagersFinance Oxford Square invests in companies located in the United States. The firm focuses on a broad range of sectors and industries. It participates in MBO and growth capital transactions.	Finance
New Castle Funds LLC New Castle Funds LLC Investment ManagersFinance New Castle Funds manages long/short and market neutral domestic equity hedge funds.	Finance
Alaric Compliance Services LLC Alaric Compliance Services LLC Investment ManagersFinance Provides investment advisory, business development and financial services	Finance
BroadArch Capital LLC BroadArch Capital LLC Investment ManagersFinance BroadArch Capital employs both long/short US equity and market neutral US equity investment strategies	Finance
Investcorp Credit Management BDC, Inc. Investcorp Credit Management BDC, Inc. Investment Trusts/Mutual FundsMiscellaneous Operates as a closed-end and non-diversified management investment company	Miscellaneous
Oxford Bridge Management LLC Oxford Bridge Management LLC Investment ManagersFinance Provides investment advice	Finance
Foreside Consulting Services LLC Foreside Consulting Services LLC Miscellaneous Commercial ServicesCommercial Services Provides compliance and regulatory solution services	Commercial Services
Oxford Gate Management, LLC
SIH ACA Topco LP SIH ACA Topco LP Miscellaneous Commercial ServicesCommercial Services Provides governance, risk and compliance advisory services in financial	Commercial Services
OXFORD PARK MANAGEMENT LLC
Oxford Park Income Fund, Inc. Oxford Park Income Fund, Inc. Investment Trusts/Mutual FundsMiscellaneous Functions as an open-end investment fund	Miscellaneous