DRAGON CAPITAL MANAGEMENT (HK) LIMITED of CENTRAL is an SEC-registered investment adviser (CRD 287890). Regulatory assets under management: $168.3M.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Dominic Timothy Charles Scriven | RESPONSIBLE OFFICER; SHAREHOLDER | — |
| Beat Schuerch | RESPONSIBLE OFFICER | — |
| Babita Bhagwan Bharwani | HEAD OF GROUP COMPLIANCE | — |
| Brian David Robling | CHIEF COMPLIANCE OFFICER | — |
| SCRIVEN DOMINIC TIMOTHY CHARLES | DIRECTOR; RESPONSIBLE OFFICER; SHAREHOLDER | — |
| Leung Maria Suk Man | DIRECTOR; DIRECTOR, RESPONSIBLE OFFICER | — |
| Shrimpton John | SHAREHOLDER | — |
| CHUBB LACHLAN | HEAD OF HK COMPLIANCE | — |
| SCHUERCH BEAT | RESPONSIBLE OFFICER | — |
| BHARWANI BABITA BHAGWAN | HEAD OF GROUP COMPLIANCE | — |
| Fritschi Juerg Christoph | RESPONSIBLE OFFICER | — |
| PASIKOWSKI ALEXANDER JAMES | DIRECTOR | — |
| Sui Yang Phang | INVESTMENT MANAGER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-03-14 | regulatory | VIETNAMESE LAW REQUIRES A PUBLIC FUND TO PRE-ANNOUNCE TO THE MARKET TRADES THAT IT MAKES IN COMPANIES WHERE A MEMBER OF THE FUND'S BOARD OF REPRESENTATIVES IS AN INSIDER. A FUND MANAGED BY DRAGON CAPITAL VIETFUND MANAGEMENT JSC (DCVFM) TRADED SHARES IN A LOCAL VIETNAMESE BANK ON SIX OCCASIONS BETWEE… | Final | $5K |
| 2023-11-06 | regulatory | VIETNAMESE LAW REQUIRES ALL EMPLOYEES OF A FUND MANAGEMENT COMPANY TO SUBMIT PRE- AND POST-TRADE REPORTS FOR EACH SECURITIES TRANSACTION TO THE COMPANY'S COMPLIANCE DEPARTMENT. IN OCTOBER 2023, THE STATE SECURITIES COMMISSION OF VIETNAM FOUND THAT TWO EMPLOYEES OF DRAGON CAPITAL VIETFUND MANAGEMENT… | Final | $5K |
| 2018-10-30 | regulatory | UPON LAUNCH OF VIETNAM'S DERIVATIVES MARKET IN AUGUST 2017, DRAGON CAPITAL VIETFUND MANAGEMENT JSC CONDUCTED A SMALL NUMBER OF TEST TRANSACTIONS USING ITS PROPRIETARY TRADING ACCOUNT, BUT DISCOVERED AFTERWARDS THAT THE NEW REGULATIONS ON DERIVATIVES DID NOT PERMIT SUCH TRANSACTIONS BY FUND MANAGEMEN… | Final | $7K |