NEUBERGER BERMAN ASIA LIMITED of HONG KONG is an SEC-registered investment adviser (CRD 154286). Regulatory assets under management: $11.0B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Heather Phyl Zuckerman | DIRECTOR | — |
| Travis Wei Heong Chia | CHIEF COMPLIANCE OFFICER | — |
| Alvin Joyue Hui | DIRECTOR | — |
| Patrick Song Liu | DIRECTOR | — |
| Heather P Zuckerman | DIRECTOR | — |
| Travis Chia | CHIEF COMPLIANCE OFFICER | — |
| ZUCKERMAN HEATHER P | DIRECTOR | — |
| HENCHMAN JASON CHRISTOPHER DAVENANT | DIRECTOR; DIRECTOR AND CHIEF COMPLIANCE OFFICER; DIRECTOR AND CHIEF OPERATING OFFICER (+1 more) | — |
| EDWARDS ROBERT JAMES | DIRECTOR AND CHIEF EXECUTIVE OFFICER | — |
| YAO YULIN | DIRECTOR; MANAGING DIRECTOR | — |
| RICE SUSAN BARNEBY | DIRECTOR; DIRECTOR AND CHIEF ADMINISTRATIVE OFFICER | — |
| SIAU YOKE LING DAWNE | CHIEF COMPLIANCE OFFICER | — |
| HUI ALVIN JOYUE | DIRECTOR | — |
| HOAR NICHOLAS JOHN FRANCIS | MANAGING DIRECTOR | — |
| CHIA TRAVIS | CHIEF COMPLIANCE OFFICER | — |
| Stothard Terry | CHIEF COMPLIANCE OFFICER | — |
| CHAO SIK KAR | CHIEF COMPLIANCE OFFICER | — |
| Heather P. Zuckerman | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-08-13 | regulatory | THE BAFIN ALLEGED THAT IN A SINGLE INSTANCE IN 2021, NBSH WILLFULLY FILED A VOTING RIGHTS NOTIFICATION OF DROPPING BELOW 3% HOLDINGS IN A GERMAN ISSUER SIX WEEKS AFTER THE FILING DEADLINE. | On Appeal | $1.6M |
| 2024-08-13 | regulatory | THE BAFIN ALLEGED THAT IN A SINGLE INSTANCE IN 2021, NBSH WILLFULLY FILED A VOTING RIGHTS NOTIFICATION OF DROPPING BELOW 3% HOLDINGS IN A GERMAN ISSUER SIX WEEKS AFTER THE FILING DEADLINE. | Final | $580K |