NEUBERGER BERMAN SINGAPORE PTE. LIMITED of SINGAPORE is an SEC-registered investment adviser (CRD 167947). Regulatory assets under management: $29.3B.
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 | — |
| Prashant Singh | DIRECTOR | — |
| Madeline Li Ching Ho | DIRECTOR | — |
| ZUCKERMAN HEATHER P | DIRECTOR | — |
| HENCHMAN JASON CHRISTOPHER DAVENANT | DIRECTOR | — |
| HUI ALVIN JOYUE | DIRECTOR | — |
| HOAR NICHOLAS JOHN FRANCIS | DIRECTOR | — |
| LIM VINCENT ONG SIN | DIRECTOR | — |
| CHIA TRAVIS | CHIEF COMPLIANCE OFFICER | — |
| SINGH PRASHANT | DIRECTOR | — |
| Ho Madeline Li Ching | DIRECTOR | — |
| ZUCKERMAN HEATHER PHYL | DIRECTOR | — |
| CHIA TRAVIS WEI HEONG | CHIEF COMPLIANCE OFFICER | — |
| 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 |