FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED of HONG KONG is an SEC-registered investment adviser (CRD 148045). Regulatory assets under management: $32.5B.
Compensation: % of AUM, Other.
Clients served: Pooled vehicles, Investment cos, Other.
Showing 25 of 57 people.
| Name | Role | Location |
|---|---|---|
| Gerard John McGraw | ELECTED MANAGER | Holmdel, NJ |
| NICOLE JANE MACARCHUK | CHIEF LEGAL OFFICER | SAN FRANCISCO, CA |
| Bryant Robert | CHIEF LEGAL OFFICER | Greenwich, CT |
| Edward Crosby Johnson Iv | ELECTED MANAGER | — |
| Abigail Pierrepont Johnson | ELECTED MANAGER | — |
| Michael Engber Wilens | ELECTED MANAGER | — |
| Stephen Charles Neff | ELECTED MANAGER | — |
| Christopher John Rimmer | HEAD OF ASSET MANAGEMENT FINANCE, TREASURER | — |
| Stephanie Jean Brown | CHIEF COMPLIANCE OFFICER | — |
| Adrian James Tyerman | COMPLIANCE OFFICER | — |
| James Christian Hancock | DIRECTOR | — |
| Sharon Yau Lecornu | EXECUTIVE DIRECTOR | — |
| James Christopher Lenton | DIRECTOR | — |
| RATHGEBER KENNETH ALAN | CHIEF COMPLIANCE OFFICER | — |
| JOHNSON EDWARD CROSBY | ELECTED MANAGER | — |
| STECK NICHOLAS EDGAR | COMPLIANCE OFFICER | — |
| WETLAUFER ERIC MICHAEL | CEO, CHAIRMAN OF THE BOARD, PRESIDENT, DIRECTOR | — |
| COHEN GEORGE MICHAEL | DIRECTOR | — |
| JOHNSON ABIGAIL PIERREPONT | DIRECTOR; ELECTED MANAGER | — |
| DAILEY WILLIAM E | TREASURER | — |
| WONDRACK LINDA JEAN | CHIEF COMPLIANCE OFFICER | — |
| RIMMER CHRISTOPHER JOHN | HEAD OF ASSET MANAGEMENT FINANCE, TREASURER | — |
| BROWN PATRICIA JEAN | CHIEF COMPLIANCE OFFICER | — |
| MACARCHUK NICOLE JANE | CHIEF LEGAL OFFICER | — |
| TYERMAN ADRIAN JAMES | COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-05-22 | regulatory | ON MAY 22, 2023, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM THE HELLENIC CAPITAL MARKET COMMISSION ("HCMC") THAT FMR LLC FAILED TO NOTIFY THE HCMC AND THE ISSUING COMPANY OF A CHANGE IN SHAREHOLDINGS IN A GREEK COMPANY IN A TIMELY MANNER. THE NOTIFICATION WAS MADE THREE… | Final | — |
| 2018-05-21 | regulatory | ON MAY 21, 2018, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") THAT THE SFSA WAS ISSUING A FINE, EQUIVALENT TO APPROXIMATELY US$40,000, AGAINST FMR LLC BASED ON A FINDING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWEDISH… | Final | $40K |
| 2017-02-28 | regulatory | ON FEBRUARY 28, 2017, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") THAT THE SFSA WAS ISSUING A FINE, EQUIVALENT TO APPROXIMATELY US$1,700, AGAINST FMR LLC BASED ON A FINDING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWED… | Final | $2K |
| 2014-04-21 | regulatory | ON APRIL 21, 2014,FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM THE HELLENIC REPUBLIC CAPITAL MARKET COMMISSION (THE "HCMC") THAT THE HCMC WAS ISSUING A FINE, EQUIVALENT TO APPROXIMATELY $6,300, AGAINST FMR LLC BASED ON A FINDING THAT, IN 2007, FMR LLC, FOR SHARES HELD BY C… | Final | $6K |
| 2014-02-24 | regulatory | ON FEBRUARY 24, 2014, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") THAT THE SFSA WAS ISSUING A FINE, EQUIVALENT TO APPROXIMATELY US$9,000, AGAINST FMR LLC BASED ON A FINDING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWED… | Final | $9K |
| 2013-12-19 | regulatory | ON APRIL 14, 2014, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM LUXEMBOURG'S COMMISSION DE SURVEILLANCE DU SECTEUR FINANCIER (THE "CSSF") THAT THE CSSF WAS ISSUING AN ADMINISTRATIVE FINE OF APPROXIMATELY US$5,000 AGAINST FMR LLC BASED ON THE FINDING THAT FMR LLC, FOR SHARE… | Final | $5K |
| — | regulatory | — | — | — |