BLACKROCK ASSET MANAGEMENT NORTH ASIA LIMITED of HONG KONG is an SEC-registered investment adviser (CRD 165482). Regulatory assets under management: $140.3B.
Compensation: % of AUM, Performance, Other.
Clients served: Pooled vehicles, Charities, Investment cos.
Showing 25 of 36 people.
| Name | Role | Location |
|---|---|---|
| Belinda Mary Boa | DIRECTOR | — |
| Adeline Chin Sew Soh | CHIEF LEGAL OFFICER | — |
| Susan Wai-Lan Chan | DIRECTOR | — |
| Tomoko Nmn Ueda | DIRECTOR | — |
| Andrew Raymond Landman | DIRECTOR | — |
| Hiroyuki Nmn Shimizu | DIRECTOR | — |
| Kevin Kai Ho Liu | CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR | — |
| Rachel Lord | DIRECTOR | — |
| Costa Nmn Tzatzakis | CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR | — |
| Damien Martin Mooney | CHIEF OPERATING OFFICER | — |
| Sarah Rombom | DIRECTOR | — |
| LANDMAN ANDREW RAYMOND | CHIEF OPERATING OFFICER; DIRECTOR | — |
| MCCOMBE MARK SEUMAS | CHIEF EXECUTIVE OFFICER; DIRECTOR | — |
| KIM SAM YONGSANG | DIRECTOR | — |
| REYNOLDS ANDREW SHAWN | CHIEF OPERATING OFFICER; DIRECTOR | — |
| MARQUARDT MICHAEL TIMOTHY | CHIEF OPERATING OFFICER; DIRECTOR | — |
| TURL GRAHAM DOUGLAS | CHIEF LEGAL OFFICER; DIRECTOR | — |
| GOOD NICHOLAS MICHAEL WHATELEY | DIRECTOR | — |
| LEE ERIC CHIN HUNG | CHIEF FINANCIAL OFFICER | — |
| LI YUEN TING JUANITA | CHIEF COMPLIANCE OFFICER | — |
| DESMIDT MARC BOVELL PAUL | DIRECTOR | — |
| LEUNG SHIRLEY JANE | DIRECTOR | — |
| STORK RYAN DAVID | CHIEF EXECUTIVE OFFICER; DIRECTOR | — |
| PETERS ALASTAIR JAMES HENRY | CHIEF FINANCIAL OFFICER | — |
| TZATZAKIS COSTA NMN | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR | — |
Showing 10 of 23 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-02-03 | civil | ON FEBRUARY 3, 2026, A PUTATIVE SECURITIES CLASS ACTION LAWSUIT WAS FILED IN THE UNITED STATES DISTRICT COURT FOR THE CENTRAL DISTRICT OF CALIFORNIA. THE COMPLAINT NAMES BLACKROCK TCP CAPITAL CORP AND CERTAIN OF ITS CURRENT AND FORMER EXECUTIVE OFFICERS AS DEFENDANTS. THE COMPLAINT PURPORTS TO BE BR… | Pending | — |
| 2025-01-09 | regulatory | ON JANUARY 9, 2025, THE COMISIÓN NACIONAL BANCARIA Y DE VALORES ("CNBV") IMPOSED A FINE OF APPROXIMATELY $123,000 USD (MNX $2,501,720) REGARDING THE ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING PROGRAM AT BLACKROCK'S MEXICO CITY OFFICE. SPECIFICALLY, THE CNBV FOUND THAT BLACKROCK MEXICO DID… | Final | $123K |
| 2025-01-09 | regulatory | ON JANUARY 9, 2025, THE COMISION NACIONAL BANCARIA Y DE VALORES ("CNBV") IMPOSED A FINE OF APPROXIMATELY $123,000 USD (MNX $2,501,720) REGARDING THE ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING PROGRAM AT BLACKROCK'S MEXICO CITY OFFICE. SPECIFICALLY, THE CNBV FOUND THAT BLACKROCK MEXICO DID… | Final | $123K |
| 2024-11-27 | civil | ON NOVEMBER 27, 2024, TEXAS ATTORNEY GENERAL KEN PAXTON AND ATTORNEYS GENERAL FROM 10 OTHER STATES (ALABAMA, ARKANSAS, INDIANA, IOWA, KANSAS, MISSOURI, MONTANA, NEBRASKA, WEST VIRGINIA, AND WYOMING) FILED A COMPLAINT AGAINST BLACKROCK, VANGUARD, AND STATE STREET (THE "MANAGERS") ALLEGING THAT THE MA… | Pending | — |
| 2024-08-22 | regulatory | ON AUGUST 22, 2024, THE INDIANA SECURITIES COMMISSIONER (THE "COMMISSIONER") ISSUED A CEASE AND DESIST ORDER (THE "ORDER") AGAINST BLACKROCK, INC. AND SEVERAL OF ITS ADVISORY AFFILIATES, (COLLECTIVELY, "BLACKROCK"). THE ORDER ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS ABOUT HOW WE MANAGE… | Pending | — |
| 2024-03-27 | regulatory | ON MARCH 27, 2024, BLACKROCK, INC., BLACKROCK INVESTMENTS, LLC, BLACKROCK ADVISORS, LLC, BLACKROCK FUND ADVISORS, AND ISHARES TRUST (COLLECTIVELY, "BLACKROCK") WERE SERVED WITH A SUMMARY CEASE AND DESIST ORDER AND NOTICE OF INTENT TO IMPOSE ADMINISTRATIVE PENALTY FROM THE MISSISSIPPI SECRETARY OF ST… | Pending | — |
| 2024-03-27 | regulatory | ON MARCH 27, 2024, BLACKROCK, INC., BLACKROCK INVESTMENTS, LLC, BLACKROCK ADVISORS, LLC, BLACKROCK FUND ADVISORS, AND ISHARES TRUST (COLLECTIVELY, "BLACKROCK") WERE SERVED WITH A SUMMARY CEASE AND DESIST ORDER AND NOTICE OF INTENT TO IMPOSE ADMINISTRATIVE PENALTY FROM THE MISSISSIPPI SECRETARY OF ST… | Final | — |
| 2023-12-18 | civil | ON DECEMBER 18, 2023, THE TENNESSEE ATTORNEY GENERAL ("AG") SUED BLACKROCK, INC. IN TENNESSEE STATE COURT FOR ALLEGED VIOLATIONS OF TENNESSEE'S CONSUMER PROTECTION STATUTE IN CONNECTION WITH OUR ESG PRACTICES. THE COMPLAINT GENERALLY ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS IN FUND PROS… | Final | — |
| 2023-12-18 | civil | ON DECEMBER 18, 2023, THE TENNESSEE ATTORNEY GENERAL ("AG") SUED BLACKROCK, INC. IN TENNESSEE STATE COURT FOR ALLEGED VIOLATIONS OF TENNESSEE'S CONSUMER PROTECTION STATUTE IN CONNECTION WITH BLACKROCK'S ESG PRACTICES. THE COMPLAINT GENERALLY ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS IN F… | Pending | — |
| 2023-06-06 | regulatory | FAILURE TO COMPLY WITH CERTAIN REGULATIONS APPLICABLE TO THE MANAGEMENT OF MUTUAL FUNDS AND THE PROVISION OF INVESTMENT ADVISORY SERVICES IN BLACKROCK'S MEXICO CITY OFFICE. | Final | $164K |