JPMORGAN ASSET MANAGEMENT (ASIA PACIFIC) LIMITED of HONG KONG is an SEC-registered investment adviser (CRD 300114). Regulatory assets under management: $169.6B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Edwin Tsun Kay Chan | DIRECTOR/MANAGING DIRECTOR | — |
| Chloe Louise Thomas | DIRECTOR/MANAGING DIRECTOR | — |
| Daniel James Watkins | DIRECTOR/MANAGING DIRECTOR | — |
| Stiofan Seamus Deburca | DIRECTOR / MANAGING DIRECTOR | — |
| Jacqueline Tan Ai Li | CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR | — |
| Christopher David Spelman | DIRECTOR / MANAGING DIRECTOR | — |
| Sohee Yun | ASSISTANT GENERAL COUNSEL / PRIMARY LEGAL CONTACT | — |
| Ka Li Ng | DIRECTOR / MANAGING DIRECTOR | — |
| SUNG MURIEL YERK KWAN | CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR; MANAGING DIRECTOR | — |
| EBRAHIM AYAZ HATIM | DIRECTOR/MANAGING DIRECTOR | — |
| ROBERTS WILLIAM | DIRECTOR/MANAGING DIRECTOR | — |
| TAN JACQUELINE | CHIEF COMPLIANCE OFFICER / MANAGING DIRECTOR | — |
| WATKINS DANIEL JAMES | DIRECTOR/MANAGING DIRECTOR | — |
| SPELMAN CHRISTOPHER DAVID | DIRECTOR / MANAGING DIRECTOR; DIRECTOR/MANAGING DIRECTOR | — |
| Chan Edwin Tsun Kay | DIRECTOR/MANAGING DIRECTOR | — |
| Ho Shaw Yann | DIRECTOR / MANAGING DIRECTOR; MANAGING DIRECTOR | — |
| THOMAS KAREN LOUISE | DIRECTOR/MANAGING DIRECTOR | — |
| Bray Lee NMN | DIRECTOR/MANAGING DIRECTOR | — |
| El-Asmar Philippe NMN | DIRECTOR/MANAGING DIRECTOR | — |
| Goldfeld Leon NMN | DIRECTOR/MANAGING DIRECTOR | — |
| Shevlin Aidan D | DIRECTOR/MANAGING DIRECTOR | — |
| Wang Desiree Qionghui | DIRECTOR/MANAGING DIRECTOR | — |
| Chan Chun Kit | ASSISTANT GENERAL COUNSEL / PRIMARY LEGAL CONTACT | — |
| DeBurca Stiofan Seamus | DIRECTOR / MANAGING DIRECTOR | — |
| NG KA LI | DIRECTOR / MANAGING DIRECTOR | — |
Showing 10 of 11 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-07-22 | regulatory | NEGLIGENT BREACH OF SUPERVISORY AND ORGANIZATIONAL DUTIES IN CONNECTION WITH INFRINGEMENTS OF SECTION 21 OF THE GERMAN SECURITIES TRADING ACT. | Final | $1.8M |
| 2020-09-29 | regulatory | THE CFTC ENTERED AN ORDER RESOLVING AN ACTION AGAINST JPMORGAN CHASE & CO., AN AFFILIATED BANK (THE "BANK") AND AN AFFILIATED BROKER-DEALER (THE "BROKER-DEALER") (COLLECTIVELY, "JPM"). ACCORDING TO THE ORDER, FROM AT LEAST 2008 THROUGH 2016, NUMEROUS TRADERS ON THE PRECIOUS METALS AND U.S. TREASURIE… | Final | $436.4M |
| 2020-09-29 | criminal | — | Final | — |
| 2019-01-15 | regulatory | THE SECURITIES AND EXCHANGE BOARD OF INDIA ("SEBI") ALLEGED THAT JPMORGAN ASSET MANAGEMENT (ASIA PACIFIC) LIMITED (JPMAM(AP)), THEN KNOWN AS JF ASSET MANAGEMENT LIMITED, VIOLATED REGULATION 19(2) OF THE SECURITIES CONTRACTS (REGULATION) (STOCK EXCHANGES AND CLEARING CORPORATIONS) REGULATIONS, 2012 R… | Final | $8K |
| 2018-02-05 | regulatory | ON FEBRUARY 5, 2018, THE TAIWAN FINANCIAL SUPERVISORY COMMISSION ("FSC") ISSUED A PUBLIC NOTICE OF ITS IMPOSITION OF A SANCTION OF RECTIFICATION AND AN ADMINISTRATIVE PENALTY ("SANCTION") AGAINST JPMORGAN ASSET MANAGEMENT (TAIWAN) LIMITED ("JPMAM TAIWAN") BECAUSE JPMAM TAIWAN, HAD NOT EFFECTIVELY ES… | Final | $41K |
| 2017-01-03 | regulatory | THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. | Final | $98K |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") RESULTING IN THE FRB ISSUING AN ORDER ("ORDER"). THE ORDER FINDS THAT FROM AT LEAST 2008 THROUGH 2013, JPMC'S ASIA-PACIFIC REGION INVESTMENT BANKING GROUP O… | Final | $61.9M |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") UNDER WHICH JPMC CONSENTED TO THE ENTRY OF AN ORDER (THE "ORDER") THAT FINDS THAT JPMC VIOLATED SECTIONS 13(B)(2)(A), 13(B)(2)(B) AND 30A OF THE SECURITIES EXCHANGE ACT O… | Final | — |
| 2015-05-20 | criminal | ON MAY 20, 2015, THE DOJ FILED A CRIMINAL INFORMATION IN THE DISTRICT COURT CHARGING JPMC WITH A ONE COUNT CRIME CHARGE IN VIOLATION OF THE SHERMAN ANTITRUST ACT, 15 U.S.C. ? 1 (THE "INFORMATION"). THE INFORMATION CHARGES THAT, FROM JULY 2010 UNTIL AT LEAST JANUARY 2013, JPMC, THROUGH ONE OF ITS EUR… | Final | — |
| 2015-05-20 | regulatory | ON MAY 20, 2015, THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") ISSUED AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY AGAINST JPMORGAN CHASE & CO. ("JPMC") RELATING TO ITS FOREIGN EXCHANGE ("FX") ACTIVITIES ("ORDER") FROM 2008 THROUGH 2013. THE ORDER STAT… | Final | $342.0M |