PACIFIC ALLIANCE INVESTMENT MANAGEMENT (HK) LIMITED

PACIFIC ALLIANCE INVESTMENT MANAGEMENT (HK) LIMITED of HONG KONG is an SEC exempt reporting adviser (CRD 296741).

Registration

Officers, owners & control persons (15)

NameRoleLocation
Derek Roy CraneGROUP CHIEF OPERATING OFFICERHong Kong, K3
Timothy Montfort GardnerGROUP GENERAL COUNSELHong Kong, K3
Christopher Marcus GradelDIRECTORHong Kong, K3
Weijian ShanSHAREHOLDER—
Kevin Yuk Lung ChanGROUP HEAD OF COMPLIANCE—
Zhanyun LiuDIRECTOR—
LEWIS JARED ROBERTGENERAL COUNSEL; GROUP GENERAL COUNSEL—
CRANE DEREK ROYGROUP CHIEF OPERATING OFFICER—
SHAN WEIJIANSHAREHOLDER—
GRADEL CHRISTOPHER MARCUSDIRECTOR—
LIU ZHANYUNDIRECTOR—
FONG HERMAN YAT WODIRECTOR—
Chan Kevin Yuk LungGROUP HEAD OF COMPLIANCE; HEAD OF COMPLIANCE—
Salathe Gregory RobertGROUP GENERAL COUNSEL; GROUP GENERAL COUNSEL (PAG)—
Gardner Timothy MontfortGROUP GENERAL COUNSEL (PAG)—

Disclosures (6)

InitiatedTypeAllegationsStatusAmount
2016-11-03regulatoryUNCOVERED SHORT SALE ORDER SUBMITTED ON THE KOREAN STOCK EXCHANGE.Final$7K
2016-03-16regulatoryQFII ACCOUNT END OF DAY STOCK INDEX FUTURE POSITIONS EXCEEDED INVESTMENT QUOTA ON CERTAIN DAYS IN JUNE AND JULY 2015.Final—
—regulatory———

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