LENDING ARK ASIA SECURED PRIVATE DEBT MANAGEMENT LIMITED of HONG KONG is an SEC exempt reporting adviser (CRD 309441).
Showing 25 of 35 people.
| Name | Role | Location |
|---|---|---|
| Carol Lee Park | DIRECTOR; INDIRECT SHAREHOLDER | Hong Kong, K3 |
| Baifeng Hu | COUNTRY HEAD - JAPAN, MANAGEMENT COMMITTEE MEMBER; HEAD OF CAPITAL PARTNERS | Grand Cayman, E9 |
| Gregory Park | DIRECTOR; INDIRECT SHAREHOLDER | KAHALUI, HI |
| Eric Chung Keat Tan | DIRECTOR | — |
| Shu Feng | DEPUTY HEAD OF CLSA CAPITAL PARTNERS | — |
| Wei Jia | DIRECTOR, CREDIT BUSINESS AND HEAD OF HEALTHCARE INVESTMENT DIVISION, CLSA ASIA GROWTH FUND; DIRECTOR, CREDIT BUSINESS AND HEAD OF HEALTHCARE INVESTMENT DIVISION, CLSA ASIA GROWTH FUNDT | — |
| Ying Yeung Hung | MD - HEAD OF TRANSACTION MANAGEMENT | — |
| Yiu Wa Cheng | DIRECTOR | — |
| Fooi Hin Lim | DIRECTOR | — |
| Mo Yin Cheung | HEAD OF COMPLIANCE | — |
| Cheuk Fan Marco Chung | HEAD OF LEGAL | — |
| Kin Ki Chiu | OPERATIONS DIRECTOR | — |
| Yiu Lun Cheung | HEAD OF FINANCE | Grand Cayman, E9 |
| CHEUNG TSE SALLY SUI YIN | HEAD OF COMPLIANCE | — |
| PARK STEVEN GREGORY | DIRECTOR; INDIRECT SHAREHOLDER | — |
| LEE GUILHERME KI | DIRECTOR | — |
| CHUNG SHU SUM | CHIEF OPERATING OFFICER | — |
| SHAH SANJAY PREMCHAND | DIRECTOR | — |
| LIN HUIYING | DIRECTOR | — |
| TAN ERIC CHUNG KEAT | DIRECTOR | — |
| PARK CAROL LEE | DIRECTOR; INDIRECT SHAREHOLDER | — |
| KWON DAE WOOK | CHIEF FINANCIAL OFFICER | — |
| HU BAIFENG | HEAD OF CLSA CAPITAL PARTNERS | — |
| XU PENGZI | DEPUTY HEAD OF CLSA CAPITAL PARTNERS | — |
| FENG SHU | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-04-30 | regulatory | CSRC FOUND THAT CITIC SECURITES CAPITAL MANAGEMENT CO., LTD PROVIDED LEVERAGED SUPPORT FOR SHARE TRANSFERS IN VIOLATION OF RESTRICTIVE PROVISIONS. | Final | $6.5M |
| 2024-04-30 | regulatory | CSRC FOUND THAT CITIC SECURITIES COMPANY LIMITED ("CITIC") PROVIDED SECURITIES LENDING SERVICES TO ITS CLIENTS IN VIOLATION OF THE RESTRICTIVE REGULATIONS ON THE TRANSFER OF SHARES | Final | $3.5M |
| 2023-02-06 | regulatory | DURING AN AML INSPECTION, THE PBOC ISSUED AN ADMINISTRATIVE PENALTY TO CITIC SECURITIES COMPANY LIMITED. THE PBOC DETERMINED THAT THE FIRM: 1.FAILED TO CONDUCT CONTINUOUS OR ENHANCED CUSTOMER DUE DILIGENCE TO CERTAIN CLIENTS AS REQUIRED. 2.FAILED TO FULLY COMPLY WITH THE REQUIREMENTS ON KEEPING OF R… | Final | $1.9M |
| 2020-04-10 | regulatory | (1) ZIZHUYUAN BRANCH'S DEFICIENCIES IN KNOWING YOUR CUSTOMER; (2) ZIZHUYUAN BRANCH'S FAILURE OF FILING A BRANCH'S PRINCIPAL INFO WITH CSRC BEIJING OFFICE; (3) ZIZHUYUAN BRANCH'S INADEQUACIES IN INTERNAL CONTROL FOR BEING UNABLE TO PROVIDE REGISTRATION RECORDS AND CHANGE OF COMPUTER EQUIPMENT AND MAC… | Final | — |