Ken Luo

JPMorgan Securities (Asia Pacific) Ltd. (JPM Asia) is the Hong Kong-based brokerage subsidiary of JP Morgan Chase & Co. (NYSE: JPM), a global financial services company headquartered in the US. JPM Asia provides brokerage services to local corporations and institutions, multinationals, governments and private clients.

Macquarie Capital Ltd. is the Hong Kong-based securities brokerage arm of Macquarie Group Ltd. (ASX: MQG), a global financial services group headquartered in Australia. Macquarie Capital offers brokerage services to various investors.

Fullgoal Fund Management Co., Ltd. (Fullgoal Fund) is an independent Chinese fund management firm which was founded in 1999. In 2003, the firm was restructured when the Bank of Montreal took a strategic interest in them and brought international concepts and management techniques to Fullgoal Fund. Headquartered in Shanghai, Fullgoal Fund provides investment management solutions including open and closed-end mutual funds, qualified domestic institutional investor (QDII) funds, enterprise annuity funds, domestic social security funds and asset management to segregated accounts for both domestic and international clients.

Harvest Fund Management Co., Ltd. (HFM) is an independent Chinese investment advisory firm which was founded in 1999. In 2005, they became a joint venture between China Credit Trust Co., Ltd. (40%), Lixin Investment Co., Ltd. (30%) and Deutsche Asset Management Co., Ltd. (30%). Headquartered in Beijing with additional office in Shanghai, the firm offers a range of domestic equity and fixed-income funds for individual, retail, institutional and Enterprise Annuity investors based in China. HFM is a responsible investor and signatory to the UN Principles for Responsible Investment (UNPRI).

Everbright PGIM Fund Management Co. Ltd. (Everbright PGIM) is a China-based joint venture firm between Everbright Securities Co. Ltd., a subsidiary of majority shareholder, state-controlled China Everbright Group Corp. and Pramerica Investment Management, a subsidiary of US-based Prudential Financial, Inc. (NYSE: PRU). The firm was founded in 2004 and as Everbright Pramerica Fund Management Co., Ltd. Headquartered in Shanghai, Everbright PGIM manages mutual funds distributed to Chinese retail investors through banks and brokerage firms.

Galaxy Asset Management Co., Ltd. (Galaxy AMC) is an independent Chinese fund management firm which was founded in 2002. Headquartered in Shanghai, Galaxy AMC manages a closed-end fund and several mutual funds for individual and institutional investors.

Citigroup Global Markets, Inc. (Broker) (CGMI-Broker) is the broker/dealer division of Citigroup Global Markets, Inc., an investment bank headquartered in New York City with additional offices across the US. The firm was founded in 2004 and is a subsidiary of Citigroup Financial Products, Inc., ultimately held by Citigroup, Inc. (NYSE: C). CGMI-Broker covers all market capitalizations of the major global indices and provides macro and quantitative analysis of global markets and sector trends. Their core focus of the group is to help investing clients make informed decisions by providing value-added, independent, insightful analysis.

Part of ZACD Group Ltd., Zacd Group Holdings Ltd. provides investment management services. The company is based in Hong Kong, Hong Kong.

Chang Xin Asset Management Co., Ltd. (Chang Xin AM) is a fund management firm headquartered in Shanghai, China. Founded in 2003, Chang Xin AM manages the ChangXin range of open-end mutual funds.

CITIC Securities Co., Ltd. (Broker) (CITICS) is the brokerage division of CITIC Securities Co., Ltd. (SHA: 600030) in China. Headquartered in Beijing, CITICS was founded in 1995 and provides securities brokerage services to institutional clients.

Zheshang Fund Management Co., Ltd. (ZS Fund) is an independent, Chinese fund management firm which was founded in 2010. Headquartered in Hangzhou with additional office in Shanghai, ZS Fund provides a range of fund management services for individual and institutional investors.

ZACD Financial Group Ltd. provides financial advisory services. The private company is based in Hong Kong, Hong Kong.

Zacd Fund Holdings Pte Ltd. functions as an investment holding Singaporean company. The private company is based in Singapore, Singapore.

Part of Affinity Associates Ltd., Flemmings Financial Services Ltd. provides retirement planning services. The company is based in Birmingham, UK. The British company was founded in 1995. Flemmings Financial Services was acquired by Affinity Associates Ltd. on March 20, 2023.

Integrity Fund Management Co. Ltd. is a Chinese public fund management company that was established in August 2019 with a registered capital of 100 million yuan. The company is based in Shanghai, China and has subsidiaries in China. The company's business scope includes managing public securities investment funds, fund sales, specific client asset management, and other businesses approved by the China Securities Regulatory Commission. The company was founded in 2019 and the CEO is Nan Zhao.

Part of Canaccord Genuity Group, Inc., Canaccord Genuity (Hong Kong) Ltd. is a capital markets division that provides investment banking, research, sales, and trading services to institutional and corporate clients. Based in Hong Kong, HK, Canaccord Genuity (Hong Kong is one of the premier financial services firms in the region. The Chinese company also offers wealth management, investment, stockbroking, and financial planning services. Peter J. O'Malley has been the CEO of the company since 2012.

China International Capital Corp. Ltd. (Broker) (CICC) is the brokerage division of China International Capital Corp. Ltd. which was established in 1995 as a strategic partnership between Chinese and international financial institutions and corporations. Headquartered in Beijing, CICC was the first joint venture investment bank in China. The firm's core business departments were investment banking, capital markets, sales & trading, research, fixed-income and asset management. CICC offers a range of brokerage services to international and domestic institutional and individual investors. In 2007 the firm set up a wholly-owned subsidiary specializing in private equity investments and focusing on buyout opportunities within China.

Goldman Sachs (Asia) LLC (GS-Asia) is the Hong Kong-based brokerage subsidiary of Goldman Sachs Holdings (Hong Kong) Ltd., ultimately owned by The Goldman Sachs Group, Inc. (NYSE: GS), a multinational investment bank and financial services company headquartered in New York City. Founded in 1984, GS-Asia provides market insight, risk management and execution services to institutional clients which includes asset managers, hedge funds, banks and brokerages, pensions, endowments and foundations, corporations, and governments.

Part of AMMB Holdings Bhd., AmInvestment Bank Bhd. The company is based in Kuala Lumpur, Malaysia. is an investment platform and investment banking service provider. Seo Han Soo has been the CEO of the Malaysian company since 2007.

Credit Suisse Securities (USA) LLC (Credit Suisse Securities USA) is the broker/dealer division of Credit Suisse Securities (USA) LLC, an investment banking company headquartered in New York City. The firm was founded in 1998 and is a wholly owned subsidiary of Credit Suisse (USA), Inc., ultimately owned by Credit Suisse Group AG (SWX: CSGN) in Switzerland. Credit Suisse Securities USA offers a suite of equities, solutions and credit products and services which includes global securities sales, trading and execution, prime brokerage and comprehensive investment research. Their clients include financial institutions, corporations, governments, institutional investors, such as pension funds and hedge funds, and private individuals around the world.

The Institute of Chartered Accountants in England & Wales ensures that its members, students, and affiliates maintain the highest standards of professional competency and conduct to protect the public interest. The non-profit company is based in London, UK, and has subsidiaries in the United Kingdom. With over 150,000 members, the institute provides technical information, helplines, and communities to its members.

Daiwa Capital Markets (Hong Kong) Ltd. (Daiwa HK) is a securities brokerage firm headquartered Hong Kong. The firm is a subsidiary of Daiwa Capital Markets Asia Holding BV, ultimately owned by Daiwa Securities Group, Inc. (TYO: 8601) in Japan. Founded in 1970, Daiwa HK offers brokerage services to an established international client base.

Merrill Lynch (Asia Pacific) Ltd. (Merrill Lynch-Asia Pacific) is the financial management subsidiary of Merrill Lynch HK Services, Ltd., ultimately owned by Bank of America Corp. (NYSE: BAC) in the US. Based in Hong Kong, the firm provides financial management and advisory services.

Mizuho Securities Asia Ltd. is the Hong Kong-based brokerage subsidiary of Mizuho Securities Co., Ltd., ultimately owned by Mizuho Financial Group, Inc. (TYO: 8411), a banking holding company headquartered in Japan. Founded in 1999, Mizuho Securities Asia provides sales, trading and execution in equity, equity-linked and convertible products across Asia, Japan and US markets for corporate, fund and institutional investors. The firm also provides a full range of fixed income products including sales and trading of investment grade and high-yield credit; government bonds; and securitization and structured products covering the full range of investors and issuers, such as asset managers, central banks, financial institutions, corporates and alternative managers.

Jefferies LLC is a global investment bank and institutional securities firm headquartered in New York City. The firm was founded in 1962 and is a subsidiary of Jefferies Group LLC, ultimately held by Jefferies Financial Group, Inc. (NYSE: JEF). Jefferies provides corporate clients with research and execution services in equity, fixed income, and foreign exchange markets, as well as a full range of investment banking services such as underwriting, mergers and acquisitions, restructuring and recapitalization, and other advisory services, with all businesses operating in the Americas, Europe and Asia.

UBS Securities LLC is an investment bank and registered broker/dealer headquartered in New York City. The firm was founded in 1998 as UBS Warburg LLC. They are a subsidiary of UBS Americas Holding LLC, ultimately held by UBS Group AG (SWX: UBSG, NYSE: UBS) in Switzerland. UBS Securities is a primary dealer in US Government securities and provides a full range of investment banking services which includes corporate finance, mergers and acquisitions, capital markets, trading and sales, fixed-income, equity research, private banking, underwriting and prime brokerage operations. The firm also provides advisory services and access to capital markets for corporate, institutional, intermediary and alternative asset management clients.

Nomura Securities International, Inc. (NSI) is a registered broker/dealer headquartered in New York City and was founded in 1969. The firm is a division of Nomura Holding America, Inc. and their ultimate parent is Nomura Holdings, Inc. (NYSE: NMR, TYO: 8604, AMS: 8604). NSI provides securities brokerage services, as well as asset management, domestic retail, global markets, global investment banking and global merchant banking services. The firm's fixed-income business consists of bond sales and trading, origination and product supply for securitization deals and real estate-focused asset finance operations (in cooperation with Investment Banking). In the equity markets, NSI offers sales and trading of domestic and foreign stocks on a global basis, primarily for institutional investors.

University of Washington functions as a College/University. The company is headquartered in Seattle, WA.

Goldman Sachs & Co. LLC (GS&Co.) is a securities brokerage firm headquartered in New York City. Founded in 1927, the firm is a subsidiary of The Goldman Sachs Group, Inc. (NYSE: GS). GS&Co. provides services to help hedge funds manage risk, monitor portfolios, maintain liquidity and build their businesses. They offer clients access to global equity and derivatives markets, as well as foreign exchange, commodities, European Lefts, rates and credit across the Americas, Europe and Asia. The firm proactively monitors capital markets, searching for pockets of liquidity and news that may require changes to those strategies. Integration with the Goldman Sachs network gives clients access to the firm's sectored block trades and their insights into price discovery. Their electronic trading program provides clients with tools to manage their trades from pre-trade analytics to post-trade analysis.

Ernst & Young provides accounting services. Its services include auditing, accounting, tax and transaction services, assurance and advisory business, online transaction advisory and a wide range of financial services. The company was founded by Arthur Young and Alwin C. Ernst in 1881 and is headquartered in Kansas City, MO.

Accounting Research & Analytics LLC, do-business-as Center for Financial Research & Analysis (CFRA), is an investment research firm headquartered in New York City. The firm was founded in 1994 and is a subsidiary of CFRA Research, Inc. CFRA provides independent and actionable research and analytics to their global subscribers to improve their investment and business decisions. The firm’s services also include forensic accounting research and analytics that identifies public companies with deteriorating earnings quality; and fundamental research and commentary focused on stocks, ETFs, mutual funds, sectors and industries.

New China Fund Management Co., Ltd. (New China FMCL) is the fund management subsidiary of Hengtai Securities Co., Ltd. (HK: 1476) in China. Established in 2004, the firm is headquartered in Chongqing and manages a range of funds distributed through leading Chinese banks, securities firms, insurance companies, trust companies and other financial institutions.

UBS Securities Asia Ltd. (UBS Asia) is a brokerage firm headquartered in Hong Kong. The firm is a subsidiary of UBS AG, which is owned by UBS Group AG (SWX: UBSG) in Switzerland. UBS Asia provides corporate and institutional clients which include intermediary and alternative asset managers with financial advisory services, access to the world's capital markets and securities products and research in the field of equity, fixed-income, rates, foreign exchange, energy and metals.

CMB International Securities Ltd. is a brokerage firm headquartered in Hong Kong. The firm is a subsidiary of CMB International Capital Holdings Corp. Ltd., ultimately held by China Merchants Bank Co., Ltd. (SHA: 600036) in China. They provide stock broking services to corporate and institutional clients.

CLSA Securities Japan Co., Ltd. (CLSA Japan) is the Japan-based brokerage subsidiary of CLSA Ltd., itself a subsidiary of CITIC Securities Co., Ltd. (SH: 600030; HK: 6030; PK: CIIHY) in China. The firm was established in 2004 as Calyon Securites Ltd. They subsequently became Credit Agricole Securities Asia B.V., Tokyo Branch and changed their name to CLSA Securities Japan Co., Ltd. in 2013 when they merged with CLSA Japan Co. Headquartered in Hong Kong, CLSA Japan provides brokerage services including Japanese & Asian research and European equities. The CLSA Japan team works closely with the global sales teams in London, NY, Hong Kong and Singapore.

Royal Bank of Scotland Asia Securities (Singapore) Pte Ltd., previously known as ABN AMRO Asia Securities Singapore Pte Ltd., is the Singapore-based securities subsidiary of the Government of the United Kingdom's The Royal Bank of Scotland Group plc. (LSE: RBS) in Great Britain. The firm provides primarily securities brokerage and research services to large corporate and institutional clients as well as to intermediaries and high-net worth individuals.

Barings LLC is a SEC-registered investment advisor headquartered in Charlotte, North Carolina. Founded in 1940, the firm is direct subsidiary of MM Asset Management Holding LLC and their ultimate parent is Massachusetts Mutual Life Insurance Co. (MassMutual). MassMutual?s affiliated companies include financial services companies that provide investment management services and individual protection insurance to clients worldwide. Barings provides a broad range of investment advisory and management services to institutional clients, registered investment companies, and other pooled investment vehicles.

Ping An Securities Co. Ltd. is the securities brokerage subsidiary of Ping An Trust Co., Ltd., which is owned by Ping An Insurance (Group) Co. of China Ltd. (SHA: 601318; HKG: 2318). Headquartered in Shenzhen, the firm was founded in 1991 and provides institutional brokerage services based on the needs of professional investors such as private equity, public equity, trust, asset management, general corporate institutions, and high-net-worth clients.