CITIC CLSA CAPITAL PARTNERS HK LIMITED of HONG KONG is an SEC exempt reporting adviser (CRD 161379).
Showing 25 of 85 people.
| Name | Role | Location |
|---|---|---|
| Carol Lee Park | DIRECTOR | Hong Kong, K3 |
| Min Sun | DIRECTOR | Pittsburgh, PA |
| Peter Jae Sun Min | DIRECTOR | Grand Cayman, E9 |
| Baifeng Hu | COUNTRY HEAD - JAPAN, MANAGEMENT COMMITTEE MEMBER; HEAD OF CAPITAL PARTNERS | Grand Cayman, E9 |
| Gregory Park | DIRECTOR | KAHALUI, HI |
| Chia Huan Lee | DIRECTOR | — |
| Megumi Kiyozuka | DIRECTOR | — |
| Eric Chung Keat Tan | DIRECTOR | — |
| Vaibhav Totla | DIRECTOR | — |
| Shu Feng | DEPUTY HEAD OF CLSA CAPITAL PARTNERS | — |
| Wei Jia | DIRECTOR, CREDIT BUSINESS AND HEAD OF HEALTHCARE INVESTMENT DIVISION, CLSA ASIA GROWTH FUND | — |
| Ying Yeung Hung | MD - HEAD OF TRANSACTION MANAGEMENT | — |
| Yiu Wa Cheng | DIRECTOR | — |
| Geok Lan Tay | DIRECTOR | — |
| Fooi Hin Lim | DIRECTOR | — |
| Mo Yin Cheung | HEAD OF COMPLIANCE | — |
| Cheuk Fan Marco Chung | HEAD OF LEGAL | — |
| Kin Ki Chiu | OPERATIONS DIRECTOR | — |
| Yiu Lun Cheung | HEAD OF FINANCE | Grand Cayman, E9 |
| KENNEDY THOMAS JOSEPH | DIRECTOR | — |
| SEAVER CHRISTOPHER | CHIEF EXECUTIVE OFFICER | — |
| REYNOLDS ANDREW SHAWN | DIRECTOR | — |
| LONG ANDREW ROSS | DIRECTOR | — |
| FOGARTY JOHN J | CHIEF COMPLIANCE OFFICER | — |
| WILBERT RANDALL | CHIEF EXECUTIVE OFFICER; CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-04-30 | regulatory | CSRC FOUND THAT CITIC SECURITIES COMPANY LIMITED ("CITICS") PROVIDED SECURITIES LENDING SERVICES TO ITS CLIENTS IN VIOLATION OF THE RESTRICTIVE REGULATIONS ON THE TRANSFER OF SHARES. | Final | $3.5M |
| 2024-04-30 | regulatory | CSRC FOUND THAT CITIC SECURITIES CAPITAL MANAGEMENT CO., LTD PROVIDED LEVERAGED SUPPORT FOR SHARE TRANSFERS IN VIOLATION OF RESTRICTIVE PROVISIONS. | Final | $6.5M |
| 2023-02-06 | regulatory | DURING AN AML INSPECTION, THE PBOC ISSUED AN ADMINISTRATIVE PENALTY TO CITIC SECURITIES COMPANY LIMITED. THE PBOC DETERMINED THAT THE FIRM: 1.FAILED TO CONDUCT CONTINUOUS OR ENHANCED CUSTOMER DUE DILIGENCE TO CERTAIN CLIENTS AS REQUIRED. 2.FAILED TO FULLY COMPLY WITH THE REQUIREMENTS ON KEEPING OF R… | Final | $1.9M |
| 2020-04-10 | regulatory | (1) ZIZHUYUAN BRANCH'S DEFICIENCIES IN KNOWING YOUR CUSTOMER; (2) ZIZHUYUAN BRANCH'S FAILURE OF FILING A BRANCH'S PRINCIPAL INFO WITH CSRC BEIJING OFFICE; (3) ZIZHUYUAN BRANCH'S INADEQUACIES IN INTERNAL CONTROL FOR BEING UNABLE TO PROVIDE REGISTRATION RECORDS AND CHANGE OF COMPUTER EQUIPMENT AND MAC… | Final | — |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| PACIFIC TRANSPORTATION ASIA LLC | Private Equity Fund | Delaware | 4 | $184.6M | $5.0M |
| SUNRISE CAPITAL IV, L.P. | Private Equity Fund | Cayman Islands | 21 | $162.3M | $1.0M |
| SUNRISE CAPITAL IV (NON-US) L.P. | Private Equity Fund | Cayman Islands | 9 | $65.1M | $1.0M |
| SUNRISE CAPITAL V L.P. | Private Equity Fund | Cayman Islands | 35 | $25.0M | $500K |
| SUNRISE CAPITAL V (NON-US) L.P. | Private Equity Fund | Cayman Islands | 12 | $13.5M | $1.0M |
| SUNRISE CAPITAL II LP | Private Equity Fund | Cayman Islands | 4 | $9.6M | $10.0M |
| ARIA INVESTMENT PARTNERS V, L.P. | Private Equity Fund | Cayman Islands | 3 | $5.2M | $10.0M |
| SUNRISE CAPITAL III L.P. | Private Equity Fund | Cayman Islands | 26 | $5.0M | $1.0M |
| ARIA INVESTMENT PARTNERS IV, L.P. | Private Equity Fund | Cayman Islands | 2 | $281K | $10.0M |
| CLEAN RESOURCES ASIA GROWTH FUND FEEDER L.P. | Private Equity Fund | Cayman Islands | 1 | $109K | $5.0M |
| CLEAN RESOURCES ASIA GROWTH FUND L.P. | Private Equity Fund | Cayman Islands | 5 | — | $5.0M |