BRILLIANCE ASSET MANAGEMENT LIMITED of HONG KONG is an SEC-registered investment adviser (CRD 282553). Regulatory assets under management: $936.5M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Lin Shi | CHIEF EXECUTIVE OFFICER; DIRECTOR; RESPONSIBLE OFFICER | Central, Hong Kong, K3 |
| Shi Lin | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, DIRECTOR; DIRECTOR | Central, K3 |
| Quan Joyce Cai | SPOUSE | — |
| Choi Kyong Chul | CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | — |
| LAW SZE HO | BUSINESS DEVELOPMENT HEAD; CHIEF FINANCIAL OFFICER | — |
| Hui Yan Wah | RISK AND COMPLIANCE MANAGER | — |
| WANG VIVIAN | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER & RISK AND COMPLIANCE MANAGER; CHIEF OPERATIONS OFFICER | — |
| Sun Xue | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER | — |
| Law Davis | CHIEF FINANCIAL OFFICER; HEAD OF BUSINESS DEVELOPMENT | — |
| WANG XIN YE | LEGAL COUNSEL AND CHIEF COMPLIANCE OFFICER | — |
| WANG VIVIAN YING | CHIEF OPERATIONS OFFICER | — |
| CAI QUAN JOYCE | ADVISER; HEAD OF STRATEGY, PLANNING AND BUSINESS TRANSFORMATION; SPOUSE | — |
| Chan Ka Chun Steve | ACTING CCO; CHIEF COMPLIANCE OFFICER | HONG KONG, K3 |
| HO Cheuk Yuen Michael | HEAD OF BUSINESS DEVELOPMENT | — |
| KYONG CHUL CHOI | CHIEF COMPLIANCE OFFICER, DEPUTY CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER; CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER | Hong Kong, K3 |
| CHUN KEUNG KENNETH KWAN | CHIEF EXECUTIVE OFFICER, CHIEF OPERATIONS OFFICER | — |
| WANG QIAN | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-04-01 | regulatory | IT WAS ALLEGED THAT, OVER THE COURSE OF APPROXIMATELY THREE YEARS, A TOTAL OF 7,814 SHORT POSITIONS HELD BY FOUR COLLECTIVE INVESTMENT SCHEMES MANAGED BY BRILLIANCE WERE EITHER MISSTATED IN OR OMITTED FROM 403 SHORT POSITION REPORTS (OR FAILED TO BE SUBMITTED) BY BRILLIANCE TO THE HONG KONG SECURITI… | Final | $406K |