SPRINGS CAPITAL (HONG KONG) LIMITED of HONG KONG is an SEC-registered investment adviser (CRD 168321). Regulatory assets under management: $7.2B.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Jun Zhao | DIRECTOR; SHAREHOLDER | Beijing, F4 |
| Jing Tian | DIRECTOR | Hong Kong, K3 |
| Chao Li | NON-EXECUTIVE DIRECTOR | — |
| Anthony Kam | CHIEF COMPLIANCE OFFICER | — |
| ZHAO XUE JUN | DIRECTOR; NON-EXECUTIVE DIRECTOR; SHAREHOLDER (+1 more) | — |
| TIAN JING | DIRECTOR | — |
| LAU DAVID | CHIEF COMPLIANCE OFFICER | — |
| LAU DAVID KIN-TAK | CHIEF COMPLIANCE OFFICER | — |
| Jiang Xiangzhong | NON-EXECUTIVE DIRECTOR | — |
| KAM ANTHONY | CHIEF COMPLIANCE OFFICER; HEAD OF COMPLIANCE | — |
| Li Chao | NON-EXECUTIVE DIRECTOR | — |
| CHI RUI | SHAREHOLDER; SPRINGS CAPITAL LIMITED (RELYING ADVISER), SHAREHOLDER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-03-17 | criminal | DUE TO A TECHNICAL OVERSIGHT, THE MANAGER INADVERTENTLY CAUSED VIOLATIONS OF THE SUBSTANTIAL HOLDINGS DISCLOSURE RULES APPLICABLE TO INVESTMENTS BY THE FUND IN SHARES OF THE COMPANY FOR CERTAIN TRADES WHICH TOOK PLACE BETWEEN SEPTEMBER 2009 AND MAY 2010. THE MANAGER SUBSEQUENTLY DETECTED THE TECHNIC… | Final | — |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| SPRINGS CHINA OPPORTUNITIES MASTER FUND | Hedge Fund | Cayman Islands | 90 | $683.4M | $250K |