ASIA RESEARCH & CAPITAL MANAGEMENT LIMITED

ASIA RESEARCH & CAPITAL MANAGEMENT LIMITED of HONG KONG is an SEC exempt reporting adviser (CRD 165312).

Registration

Officers, owners & control persons (12)

NameRoleLocation
Yusuf Razaul HaqueCHIEF OPERATING OFFICER, DIRECTORHong Kong, K3
Alp ErcilEXECUTIVE OFFICER/DIRECTOR; OWNERHong Kong, K3
Paul I-Cheng ShihDIRECTOR—
Shirley Sze Man ChanHEAD OF COMPLIANCE—
ERCIL ALPEXECUTIVE OFFICER/DIRECTOR; OWNER—
SHIH PAUL I-CHENGDIRECTOR—
LEE KAHYEONG NMNDIRECTOR—
LEE JUNGMINDIRECTOR—
HAQUE YUSUF RAZAULCHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER, DIRECTOR—
CHAN ANNA SIU MANHEAD OF COMPLIANCE—
ERCIL ALP NMNEXECUTIVE OFFICER/DIRECTOR; OWNER—
WONG BILLY YIM-CHICHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER / CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER / COMPLIANCE MANAGER—

Disclosures (9)

InitiatedTypeAllegationsStatusAmount
2022-10-12regulatoryFAILURES BY ASIA RESEARCH & CAPITAL MANAGEMENT LIMITED ("ARCM") TO COMPLY WITH THE EUROPEAN UNION'S SHORT SELLING REPORTING REQUIREMENTS AND TO PROMPTLY NOTIFY THE HONG KONG SECURITIES AND FUTURES COMMISSION ("SFC").Final$223K
2020-10-14regulatory- FAILURE TO MAKE CERTAIN NOTIFICATIONS OF ITS NET SHORT POSITION TO THE FINANCIAL CONDUCT AUTHORITY IN ACCORDANCE WITH THE METHOD REQUIRED UNDER ARTICLE 9 OF THE SSR, IN BREACH OF ARTICLE 5 OF THE SSR; - FAILURE TO MAKE CERTAIN DISCLOSURES OF ITS NET SHORT POSITION TO THE PUBLIC IN ACCORDANCE WITH…Final$1.1M
2019-06-06civilTORTIOUS CONDUCT BY THE CREDITORS AND CUSTOMER OF PERFORADORA ORO NEGRO, S. DE RL DE C.V.Final—

Private funds (2)

Hedge Fund: 1 · Other Private Fund: 1

FundTypeFormedOwnersGross asset valueMin investment
ARCM MASTER FUND IV LTD.Hedge FundCayman Islands134$2.9B$10.0M
ARCM 1740 INVESTMENTS LTD.Other Private FundCayman Islands1——

Fund service providers (2)

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