ALLIANZ GLOBAL INVESTORS ASIA PACIFIC LIMITED of HONG KONG is an SEC-registered investment adviser (CRD 289358). Regulatory assets under management: $15.5B.
Compensation: % of AUM.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Desmond Ka Yiu Ng | HEAD OF ASIA PACIFIC & DIRECTOR | — |
| Tze Ling Nmn Yu | HEAD OF SALES, GREATER CHINA & SOUTH EAST ASIA RETAIL & DIRECTOR | — |
| Wun Wun Lung | CHIEF FINANCIAL OFFICER, ASIA PACIFIC & DIRECTOR | — |
| Khalil Soubra | CHIEF OPERATING OFFICER, ASIA PACIFIC & DIRECTOR | — |
| Mandie Hoi Teng Tong | CHIEF COMPLIANCE OFFICER | — |
| Wilfred Wing Fai Sit | CHIEF INVESTMENT OFFICER EQUITY ASIA PACIFIC & DIRECTOR | — |
| LEHMANN DANIEL NMN | CHIEF OPERATIONS OFFICER & DIRECTOR | — |
| UTERMANN ANDREAS ERNST FERDINAND | GLOBAL CHIEF INVESTMENT OFFICER | — |
| CHAN RAYMOND CHI KEUNG | CHIEF INVESTMENT OFFICER & DIRECTOR; CHIEF INVESTMENT OFFICER EQUITY ASIA PACIFIC & DIRECTOR | — |
| Yu Miao NMN | HEAD OF RETAIL DISTRIBUTION & DIRECTOR; HEAD OF SALES, GREATER CHINA & SOUTH EAST ASIA RETAIL & DIRECTOR | — |
| NG MICHAEL KWOK HO | CHIEF COMPLIANCE OFFICER | — |
| IP KAM WAH NMN | CHIEF FINANCIAL OFFICER & DIRECTOR | — |
| NG DESMOND KA YIU | HEAD OF ASIA PACIFIC & DIRECTOR | — |
| JONG Alex Khee Chen | HEAD OF TECHNOLOGY AND OPERATIONS ASIA PACIFIC & DIRECTOR | — |
| LUNG WUN WUN | CHIEF FINANCIAL OFFICER, ASIA PACIFIC & DIRECTOR; HEAD OF GLOBAL POLICIES/HEAD OF BUSINESS PARTNERING & FINANCE AP & DIRECTOR | — |
| SOUBRA KHALIL | CHIEF OPERATING OFFICER, ASIA PACIFIC & DIRECTOR; COO ASIA PACIFIC | — |
| Tong Mandie Hoi Teng | CHIEF COMPLIANCE OFFICER | — |
| Tze Ling (Nmn) Yu | HEAD OF DISTRIBUTION, HONG KONG AND GREATER CHINA OFFSHORE & DIRECTOR; HEAD OF SALES, GREATER CHINA & SOUTH EAST ASIA RETAIL & DIRECTOR | — |
| Zheng Zeng | CHIEF INVESTMENT OFFICER FIXED INCOME & DIRECTOR | — |
| Julie J Koo | HEAD OF DISTRIBUTION, ASIA PACIFIC & DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-04-04 | regulatory | AT THE END OF 2018, THE LUXEMBOURG FINANCIAL SUPERVISORY AUTHORITY ("CSSF") CONDUCTED AN ON-SITE INSPECTION AT ALLIANZGI IN LUXEMBOURG, FOCUSING ON COMPLIANCE WITH ANTI-MONEY LAUNDERING REGULATIONS. SUCH INSPECTIONS ARE STANDARD. DURING THIS INSPECTION, FORMAL / ADMINISTRATIVE VIOLATIONS OF RELEVANT… | Final | $311K |
| 2017-08-04 | regulatory | ALLIANZ GLOBAL INVESTORS GMBH ("ALLIANZGI GMBH") ACQUIRED SECURITIES OF CERTAIN GERMAN ISSUERS, RESULTING IN ALLIANZGI GMBH CONTROLLING SHARES IN EXCESS OF OWNERSHIP AND CONTROL REPORTING THRESHOLDS UNDER THE SECURITIES TRADING ACT OF THE FEDERAL REPUBLIC OF GERMANY (THE "SECURITIES TRADING ACT"). A… | Final | $259K |