DWS INVESTMENTS HONG KONG LIMITED of HONG KONG is an SEC-registered investment adviser (CRD 139666). Regulatory assets under management: $5.1B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 58 people.
| Name | Role | Location |
|---|---|---|
| Elke Schoeppl-Jost | DIRECTOR / REGIONAL INVESTMENT HEAD APAC | — |
| Susanna NY Wong | REGIONAL HEAD OF LEGAL APAC | — |
| Simon John Murfin | DIRECTOR / CHIEF OPERATING OFFICER APAC | — |
| Chun Mui Jojo Wong | CHIEF COMPLIANCE OFFICER / REGIONAL HEAD OF AFC & COMPLIANCE APAC | — |
| Wendy Wai Ng Lok | DIRECTOR / CHIEF OPERATING OFFICER HONG KONG | — |
| Vanessa Wang | DIRECTOR / HEAD OF CLIENT COVERAGE, APAC / HEAD OF ASIA PACIFIC; DIRECTOR / HEAD OF CLIENT COVERAGE, APAC / REGIONAL HEAD OF ASIA PACIFIC | — |
| Lorraine Lay Hoon Toh | DIRECTOR | — |
| Macy Lai Kwan Chan | DIRECTOR / CHIEF FINANCIAL OFFICER APAC | — |
| WILLIAMS MORRIS CHRISTOPHER | DIRECTOR / CAO INVESTMENT DIVISION, APAC; DIRECTOR / COO ALTERNATIVES APAC; DIRECTOR / COO OF NORTH ASIA, AUSTRALIA (EX-JAPAN) & INVESTMENT DIVISION APAC | — |
| TANG NELSON KA MING | CHIEF COMPLIANCE OFFICER | — |
| LEUNG WING CHEUNG WILLIAM | DIRECTOR AND LEAD PORTFOLIO MANGER | — |
| LAWSON KRISTOR JOHN | DIRECTOR/ CHIEF FINANCIAL OFFICER | — |
| PETER EDOUARD FERNEN | MANAGING DIRECTOR; MANAGING DIRECTOR & HEAD OF ASIA PACIFIC & MIDDLE EAST | — |
| HARRIS STEPHEN PAUL | CHIEF OPERATING OFFICER; MANAGING DIRECTOR & CHIEF OPERATING OFFICER | — |
| LOW LAWRENCE | CHIEF LEGAL OFFICER | — |
| SEAH BEE-CHENG | CONTROLLER; CONTROLLER/CHIEF FINANCIAL OFFICER | — |
| TIN PATRICIA HON-PING | CHIEF COMPLIANCE OFFICER | — |
| TAN WILLIE HWEE MENG | SENIOR COMPLIANCE MANAGER | — |
| CHINAPPI BRIAN DAVID | MANAGING DIRECTOR | — |
| EBRAHIM AYAZ HATIM | CHIEF INVESTMENT OFFICER | — |
| THASSIM NIEL | CCO, RREEF ASIA PACIFIC | — |
| PROUT ALEXANDER MAURICE | DIRECTOR | — |
| QUEK NEE LOW SUI SAM ROSE | FINANCIAL CONTROLLING | — |
| NAUMANN HOLGER | DIRECTOR; DIRECTOR / HEAD OF DWS APAC; DIRECTOR / REGIONAL HEAD APAC | — |
| PIDDEN ANDREW FREDERICK PETER | DIRECTOR; DIRECTOR / GLOBAL HEAD OF INVESTMENTS SUSTAINABLE INVESTMENTS; DIRECTOR / HEAD OF SUSTAINABLE INVESTMENTS | — |
Showing 10 of 92 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-04-30 | regulatory | ON APRIL 30, 2026, DEUTSCHE BANK AG, LONDON BRANCH ("DBAG") ENTERED INTO A SETTLEMENT WITH THE UNITED KINGDOM'S OFFICE OF FINANCIAL SANCTIONS IMPLEMENTATION ("OFSI") IN WHICH OFSI FOUND THAT DBAG VIOLATED REGULATION 12 OF THE RUSSIA (SANCTIONS) (EU EXIT) REGULATIONS 2019 FOR PROCESSING TWO PAYMENT T… | Final | $224K |
| 2026-03-12 | regulatory | ON MARCH 12, 2026, THE SAUDI CENTRAL BANK ("SAMA") FOUND THAT DEUTSCHE BANK AG, RIYADH BRANCH ("DBAG") VIOLATED ARTICLE 17 OF THE SAUDI BANKING CONTROL LAW FOR DEPOSIT REPORTING DISCREPANCIES IN DBAG'S SEPTEMBER 2025 AND OCTOBER 2025 REPORTS TO SAMA. | Final | $1K |
| 2025-06-09 | regulatory | THE SECURITIES AND FUTURES COMMISSION OF HONG KONG (THE "SFC") COMMENCED INVESTIGATIONS INTO DEUTSCHE BANK AG, HONG KONG BRANCH ("DBHK") FOLLOWING SELF-REPORTS MADE BY DBHK REGARDING SELF-IDENTIFIED INCIDENTS, WHICH THE SFC FOUND VIOLATED GENERAL PRINCIPLES 2 (DILIGENCE), 7 (COMPLIANCE), AND PARAGRA… | Final | $3.0M |
| 2025-06-02 | regulatory | ICE CLEAR CREDIT LLC ("ICE CLEAR CREDIT") FOUND THAT DEUTSCHE BANK AG ("DBAG") FAILED TO COMPLY WITH ICE CLEAR CREDIT RULE 404(B) RELATING TO THE TIMELY SUBMISSION OF TWO END-OF-DAY PRICES. | Final | $4K |
| 2025-04-11 | regulatory | BLOOMBERG SEF LLC ("BSEF") FOUND THAT DEUTSCHE BANK AG ("DBAG") FAILED TO REPORT ERROR TRADES IN A TIMELY MANNER IN ACCORDANCE WITH BSEF RULES, AND THAT DBAG FAILED TO ADMINISTER SUPERVISORY PROCEDURES TO ENSURE THAT ERROR TRADES WERE PROPERLY REPORTED AND CORRECTED ON BSEF. | Final | $135K |
| 2025-03-24 | regulatory | ON MAY 13, 2025, THE RESERVE BANK OF INDIA ("RBI") FOUND THAT DEUTSCHE BANK AG, INDIA ("DBAG") VIOLATED AN RBI DIRECTIVE BY FAILING TO REGISTER CERTAIN LARGE ACCOUNTS WITH THE CREDIT REPOSITORY OF INFORMATION ON LARGE CREDIT ("CRILC") PLATFORM. | Final | $58K |
| 2025-03-17 | regulatory | ON APRIL 1, 2025, DWS GROUP GMBH & CO. KGAA AND DWS INVESTMENT GMBH (TOGETHER, "DWS") RECEIVED AN ADMINISTRATIVE FINE NOTICE FROM THE FRANKFURT PUBLIC PROSECUTOR FINDING THAT DWS COMMITTED AN ADMINISTRATIVE OFFENSE BY NEGLIGENTLY BREACHING A REQUIREMENT REGARDING PROPER BUSINESS OPERATIONS IN THE GE… | Final | $27.5M |
| 2024-12-20 | regulatory | THE SEC FOUND THAT DEUTSCHE BANK SECURITIES, INC. ("DBSI") FAILED TO TIMELY FILE CERTAIN SUSPICIOUS ACTIVITY REPORTS, AND, ON CERTAIN OCCASIONS FAILED TO PROMPTLY INVESTIGATE OR COMPLETE INVESTIGATIONS OF POTENTIALLY SUSPICIOUS ACTIVITY WITHIN A REASONABLE PERIOD OF TIME. THE SEC FOUND THAT FROM APR… | Final | $4.0M |
| 2024-07-04 | regulatory | THE GERMAN FEDERAL FINANCIAL SUPERVISORY AUTHORITY ("BAFIN") DETERMINED THAT THE CONSOLIDATED FINANCIAL STATEMENTS OF DEUTSCHE BANK AG ("DBAG") FOR FY2019 MISAPPLIED THE INTERNATIONAL FINANCIAL REPORTING STANDARDS ("IFRS") - INTERNATIONAL ACCOUNTING STANDARDS ("IAS") RELATING TO SPECIFICS OF THE DIS… | Final | — |
| 2024-06-20 | regulatory | THE SECURITIES AND COMMODITIES AUTHORITY - UAE ("SCA") FOUND THAT DEUTSCHE BANK AG, DUBAI BRANCH (DEUTSCHE SECURITIES AND SERVICES) ("DSS") FAILED TO TIMELY SUBMIT A REQUIRED ANNUAL FINANCIAL REPORT FOR THE PERIOD ENDING DECEMBER 31, 2023. | On Appeal | $14K |