HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED of HONG KONG is an SEC-registered investment adviser (CRD 105193). Regulatory assets under management: $149.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos.
Showing 25 of 75 people.
| Name | Role | Location |
|---|---|---|
| Wai Fun Ho | DIRECTOR/CHIEF EXECUTIVE OFFICER ASIA PACIFIC | — |
| Pan Lang Yeung | CHIEF COMPLIANCE OFFICER | — |
| Nicolas Jean Marie Denis Moreau | DIRECTOR/CEO GLOBAL ASSET MANAGEMENT | — |
| Kok Wing To | DIRECTOR | — |
| Wai Nga Sylvia Chen | DIRECTOR | — |
| Stephen Chun Pong Tam | DIRECTOR | — |
| BROWN KEVIN THOMAS | DIRECTOR / CHIEF OPERATING OFFICER | — |
| WALLACE JOHN ROBERT | DIRECTOR | — |
| AU KING LUN | DIRECTOR | — |
| LEUNG KO MARGARET MAY YEE | DIRECTOR | — |
| FREDRICK BRIAN GEORGE | DIRECTOR | — |
| PICKERELL BLAIR CHILTON | DIRECTOR / CHIEF EXECUTIVE OFFICER | — |
| DROMER ALAIN | DIRECTOR / GROUP CHIEF EXECUTIVE OFFICER; DIRECTOR/GROUP CHIEF EXECUTIVE OFFICER | — |
| SO CHRISTINE | CHIEF COMPLIANCE OFFICER | — |
| LEUNG WING CHEUNG WILLIAM | DIRECTOR | — |
| CHENG HOI CHUEN | DIRECTOR / CHAIRMAN | — |
| SIBLEY NICHOLAS JOHN | DIRECTOR | — |
| LOUIE ADELINA NY | DIRECTOR / DEPUTY CHIEF OPERATING OFFICER | — |
| LAM BONNIE PO YEE | DIRECTOR | — |
| FRIED DAVID LAWRENCE | DIRECTOR | — |
| ENGEL CONRADO | DIRECTOR | — |
| EBRAHIM AYAZ HATIM | DIRECTOR | — |
| MCCOMBE MARK SEUMAS | DIRECTOR; DIRECTOR / CHAIRMAN; DIRECTOR/GLOBAL CHIEF EXECUTIVE OFFICER (+2 more) | — |
| CONXICOEUR PATRICE | DIRECTOR | — |
| THURSTON PAUL ANTHONY | DIRECTOR | — |
Showing 10 of 14 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-08-22 | regulatory | BREACH OF INVESTMENT BANKING RELATIONSHIP DISCLOSURE REQUIREMENTS IN RELATION TO PUBLICATION OF RESEARCH REPORTS ON HK-LISTED SECURITIES BETWEEN 2013 AND 2021. | Final | $542K |
| 2024-07-05 | regulatory | THE MPFA ISSUED A DISCIPLINARY ORDER AGAINST THE HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED DUE TO FAILURE TO HAVE DUE REGARD TO THE PROHIBITION OF OFFERING INCENTIVES AS STIPULATED IN PARAGRAPH III.6 OF THE GUIDELINES ON CONDUCT REQUIREMENTS FOR REGISTERED INTERMEDIARIES (CONDUCT GUIDELINES)… | Final | $3.0M |
| 2024-03-28 | criminal | IN DECEMBER 2023, THE SECURITIES AND FUTURES COMMISSION IN KOREA FOUND THE HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED ("HBAP") TO BE IN VIOLATION OF SHORT SALE RESTRICTIONS UNDER THE FINANCIAL INVESTMENT SERVICES AND CAPITAL MARKETS ACT IN KOREA FOR SHORT SALE ORDERS PLACED BETWEEN AUGUST AND… | On Appeal | — |
| 2023-12-28 | regulatory | THE SECURITIES AND FUTURES COMMISSION IN KOREA FOUND THE HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED TO BE IN VIOLATION OF SHORT SALE RESTRICTIONS UNDER THE FINANCIAL INVESTMENT SERVICES AND CAPITAL MARKETS ACT IN KOREA. | Final | $5.6M |
| 2023-05-24 | regulatory | IN MAY 2023 THE COMPETITION AND MARKETS AUTHORITY ISSUED A STATEMENT OF OBJECTIONS TO FIVE BANKS (DEUTSCHE BANK, MORGAN STANLEY, ROYAL BANK OF CANADA, CITI, AND HSBC). IN FEBRUARY 2025, THE COMPETITION AND MARKETS AUTHORITY ANNOUNCED THAT IT HAD REACHED A SETTLEMENT WITH HSBC. HSBC ACCEPTED THAT A S… | Final | $30.0M |
| 2021-12-02 | regulatory | THE EUROPEAN COMMISSION IN DECEMBER 2021 COMPLETED A CARTEL INVESTIGATION INTO THE FOREIGN EXCHANGE ('FOREX') SPOT TRADING MARKET BY IMPOSING FINES ON FIVE FINANCIAL INSTITUTIONS, INCLUDING HSBC HOLDINGS PLC. THE COMMISSION'S INVESTIGATION FOCUSED ON THE TRADING OF THE G10 CURRENCIES. THE COMMISSION… | Final | $197.0M |
| 2020-04-07 | regulatory | ON 7 APRIL 2020, THE SFC HAS REPRIMANDED AND FINED HSBC INVESTMENT FUNDS (HONG KONG) LIMITED AND HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED (COLLECTIVELY, THE "MANAGERS") HK$3.5 MILLION FOR BREACHES OF REGULATORY REQUIREMENTS IN RELATION TO CASH MANAGEMENT FOR SFC-AUTHORIZED FUNDS. THE SFC'S I… | Final | $450K |
| 2018-01-18 | regulatory | IN JANUARY 2018, FOLLOWING THE CONCLUSION OF THE US DEPARTMENT OF JUSTICE'S (DOJ) INVESTIGATION INTO HSBC'S HISTORICAL FOREIGN EXCHANGE ACTIVITIES, HSBC HOLDINGS ENTERED INTO A THREE-YEAR DEFERRED PROSECUTION AGREEMENT WITH THE CRIMINAL DIVISION OF THE DOJ (THE FX DPA), REGARDING FRAUDULENT CONDUCT… | Final | $101.5M |
| 2017-09-29 | regulatory | IN SEPTEMBER 2017, FOLLOWING THE CONCLUSION OF THE US FEDERAL RESERVE BOARD'S REVIEW OF THE EFFECTIVENESS OF HSBC'S FX PRACTICES DURING THE PERIOD OF OCTOBER 2008 THROUGH OCTOBER 2013, HSBC HOLDINGS PLC AND HSBC NORTH AMERICA HOLDINGS INC. ENTERED INTO A CONSENT ORDER REGARDING CERTAIN DEFICIENCIES… | Final | $175.3M |
| 2016-12-07 | regulatory | IN DECEMBER 2016, THE EUROPEAN COMMISSION (THE 'COMMISSION') ISSUED A DECISION THAT IN EARLY 2007 HSBC, AMONG OTHER BANKS, COLLUDED ON EURO INTEREST RATE DERIVATIVE PRICING ELEMENTS, AND EXCHANGED RELATED SENSITIVE INFORMATION, IN BREACH OF EU ANTITRUST RULES. THE COMMISSION DETERMINED THAT THE DURA… | Final | $37.8M |