Securities & Futures Commission of Hong Kong

List of exempt fund managers (EFMs)

Name of Group Entities with EFM status
Bank of America Merrill Lynch
  • Bank of America, N.A.
BNP Paribas Group
  • BNP PARIBAS ASSET MANAGEMENT Asia Limited
    (formerly, BNP Paribas Investment Partners Asia Limited)
  • Alfred Berg Kapitalforvaltning AS (Norway)
  • BNP PARIBAS ASSET MANAGEMENT Singapore Ltd
    (formerly, BNP Paribas Investment Partners Singapore Ltd)
  • BNP PARIBAS ASSET MANAGEMENT France
    (formerly, BNP Paribas Asset Management S.A.S.)
  • HFT Investment Management (HK) Limited
  • HFT Investmnet Management Co., Ltd
  • BNP PARIBAS ASSET MANAGEMENT Malaysia Sdn Bhd
    (formerly, BNP Paribas Investment Partners Malaysia Sdn Bhd)
  • BNP PARIBAS ASSET MANAGEMENT Najmah Malaysia Sdn Bhd
    (formerly, BNP Paribas Investment Partners Najmah Malaysia Sdn Bhd)
  • BNP PARIBAS ASSET MANAGEMENT UK Ltd.
    (formerly, BNP Paribas Investment Partners UK Ltd.)
  • BNP PARIBAS ASSET MANAGEMENT USA, Inc. 
    (formerly, Fischer Francis Trees & Watts, Inc.)
  • BNP PARIBAS ASSET MANAGEMENT Nederland N.V.
    (formerly, BNP Paribas Investment Partners Nederland N.V.)
CICC Group
  • Krane Funds Advisors, LLC
  • China International Capital Corporation Hong Kong Asset Management Limited
  • China International Capital Corporation Fund Management Co. Ltd.
  • The discretionary fund management arm of China International Capital Corporation Limited
Citigroup Inc.
  • Citigroup Alternative Investments LLC
  • Citigroup First Investment Management Limited

Credit Suisse AG

    • Credit Suisse AG, Singapore Branch
    • Credit Suisse (Singapore) Limited
    • Credit Suisse AG Hong Kong Branch
    • Credit Suisse Investment Services (Australia) Limited
    • Credit Suisse AG
    • Credit Suisse Funds AG
    • Credit Suisse Asset Management LLC
    • Credit Suisse Gestión, SGIIC, SA.
    • Credit Suisse Fund Management S.A.
    • Credit Suisse (UK) Limited
    • Credit Suisse Hedging-Griffo Wealth Management S.A
    • Credit Suisse Asset Management (Schweiz) AG 
    • Credit Suisse (Hong Kong) Limited
Daiwa Group
  • Daiwa Asset Management Co. Ltd
  • Daiwa Asset Management (Europe) Ltd
  • Daiwa Asset Management (H.K.) Limited
  • Daiwa Asset Management (Singapore) Ltd
DBS Group
  • DBS Bank Ltd.
Goldman Sachs
  • Goldman Sachs Hedge Fund Strategies L.L.C.
    (formerly, Goldman Sachs Princeton LLC)
  • Goldman Sachs Asset Management International
  • Goldman Sachs Asset Management, LP
  • Goldman Sachs Asset Management Co. Ltd
  • Goldman Sachs Asset Management Australia Pty Ltd.
    (formerly, Goldman Sachs Asset Management & Partners Australia Pty Ltd.)
    (and further formerly, Goldman Sachs JBWere Investment Management Pty Ltd.)
  • Goldman Sachs Asset Management (Singapore) Pte. Ltd.
  • Goldman Sachs Asset Management (Hong Kong) Limited
HSBC
  • Hang Seng Investment Management Limited
  • HSBC Global Asset Management (Hong Kong) Limited
    (formerly, HSBC Investments (Hong Kong) Limited)
    (and further formerly, HSBC Asset Management (Hong Kong) Limited)
  • HSBC Global Asset Management (UK) Limited
    (formerly, HSBC Investments (UK) Limited)
    (and further formerly, HSBC Asset Management (Europe) Limited)
  • HSBC Global Asset Management (Canada) Limited
    (formerly, HSBC Investments (Canada) Limited)
  • HSBC Global Asset Management (Japan) K.K.
    (formerly, HSBC Investment (Japan) K.K.)
  • HSBC International Trustee Limited, Jersey Branch
  • HSBC Global Asset Management (Taiwan) Limited (English name for identification only)
    (formerly, HSBC Investments (Taiwan) Limited)
  • HSBC Global Asset Management (Singapore) Limited
    (formerly, HSBC Investments (Singapore) Limited)
  • HSBC Global Asset Management (France)
  • Private Banking Department of HSBC France
    - (formerly, Private Bank Department of HSBC France SA)
  • HSBC Trustee (Singapore) Limited
  • HSBC (Malaysia) Trustee Berhad
  • HSBC Trustee (Hong Kong) Limited
  • HSBC Private Trustee (Hong Kong) Limited
  • HSBC Trust Company SA
  • HSBC Trustee (CI) Limited
  • Portfolio Management Team of Private Banking Division of The Hongkong and Shanghai Banking Corporation Limited
  • HSBC Jintrust Fund Management Company Limited
  • HSBC International Trustee Limited, Singapore Branch
  • HSBC International Trustee Limited
  • HSBC Bank plc, Guernsey Branch
  • Private Banking Department of HSBC Bank USA
  • HSBC UK Bank plc
JPMorgan Group
  • JPMorgan Asset Management (Asia Pacific) Limited
  • JPMorgan Asset Management (Singapore) Limited (formerly, JF Asset Management (Singapore) Limited)
  • JPMorgan Asset Management (Taiwan) Limited (formerly, JF Asset Management (Taiwan) Limited)
  • JPMorgan Asset Management (Japan) Limited
  • JPMorgan Asset Management (UK) Limited
  • JPMorgan Funds Limited
  • JPMorgan Chase Bank, N.A. (France, Hong Kong, Singapore, United States, United Kingdom)
  • J.P Morgan Investment Management Inc. (United Kingdom, United States)
  • JPMorgan Asset Management (Canada) Inc.
  • Highbridge Capital Management, LLC
  • CIFM Asset Management (Hong Kong) Limited
  • JPMorgan Investment Advisors (Korea) Company Limited (formerly, JPMorgan Asset Management (Korea) Company Limited)
  • China International Fund Management Co., Ltd
  • Sunward Capital Management Co Ltd
  • J.P Morgan Alternative Asset Management, Inc.
  • Security Capital Research & Management Incorporated
  • J.P. Morgan (Suisse) SA
  • JPMorgan Gestion, Sociedad Gestora de Instituciones de Inversion Colectiva, S.A.
  • J.P. Morgan Securities LLC (formerly, J.P. Morgan Securities Inc.) (and further formerly, Bear Stearns & Co., Inc.)
Macquarie Group
  • Macquarie Funds Management Hong Kong Limited
  • Macquarie Capital Investment Management LLC
    (formerly, Macquarie Fund Advisor, LLC)
  • Macquarie Investment Management Global Limited
    (formerly, Macquarie Capital Investment Management (Australia) Limited)
  • Macquarie Investment Management Ltd
  • Macquarie Life Limited
  • MQ Specialist Investment Management Limited
  • Macquarie Investment Management Australia Limited
    (formerly, MQ Portfolio Management Limited)
  • Macquarie Investment Management Business Trust
    (formerly, Delaware Management Business Trust)
Morgan Stanley
  • Morgan Stanley Investment Management Limited
  • Morgan Stanley & Co. International plc.
    (formerly known as Morgan Stanley & Co International Limited)
  • Morgan Stanley Investment Management (Japan) Co., Ltd
    (formerly known as Morgan Stanley Asset & Investment Trust Management Co., Limited)
  • Morgan Stanley Investment Management Company
  • Morgan Stanley Investment Management Inc.
  • Morgan Stanley Bank Asia Limited
  • Morgan Stanley Asia Limited (Traditional Asset Management within the Investment Management Division)
  • Morgan Stanley Smith Barney LLC
Nomura
  • Nomura Asset Management Malaysia Sdn Bhd
  • Nomura Asset Management Co., Ltd
  • Nomura Asset Management Hong Kong Limited
  • Nomura Asset Management Singapore Limited
  • Nomura Asset Management U.K. Limited
  • Nomura Asset Management Europe KVG mbH (formerly known as Nomura Asset Management Deutschland KAG mbH)
UBS AG
  • UBS Asset Management (Hong Kong) Limited
    (formerly, UBS Global Asset Management (Hong Kong) Limited)
  • UBS Asset Management (Singapore) Limited
    (formerly, UBS Global Asset Management (Singapore) Limited)
  • UBS Asset Management (UK) Limited
    (formerly, UBS Global Asset Management (UK) Limited)
  • UBS Asset Management (Americas) Inc.
    (formerly, UBS Global Asset Management (Americas) Inc.)
  • UBS Fund Management (Switzerland) AG
  • UBS Asset Management (Taiwan) Ltd.
    (formerly, UBS Global Asset Management (Taiwan) Ltd.)
  • UBS O'Connor LLC
  • UBS O'Connor Limited
  • UBS Asset Management (Deutschland) GmbH
    (formerly, UBS Global Asset Management (Deutschland) GmbH)
  • UBS Asset Management (Australia) Limited
    (formerly, UBS Global Asset Management (Australia) Ltd)
  • UBS Asset Management (Japan) Ltd
    (formerly, UBS Global Asset Management (Japan) Limited)

Investment Management Division, UBS Wealth Management of the following entities: 

    • UBS Investment Management Canada Inc.
    • UBS Europe SE (formerly, UBS Deutschland AG)
    • UBS AG Hong Kong Branch
    • UBS Europe SE, Succursale Italia (formerly, UBS (Italia) S.P.A.)
    • UBS AG, Jersey Branch
    • UBS Europe SE, Luxembourg Branch (formerly, UBS (Luxembourg) S.A.)
    • UBS (Monaco) S.A.
    • UBS AG, Singapore Branch
    • UBS Europe SE, Spain Branch (formerly, UBS Bank S.A.)
    • UBS Switzerland AG
    • UBS Swiss Financial Advisers AG
    • UBS AG, Taipei Branch
    • UBS AG, London Branch
    • UBS AG, New York Branch
    • UBS Financial Services Inc.
    • UBS Europe SE, Niederlassung Österreich

 

 

 

3.8662 s