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DWS INVESTMENTS HONG KONG LIMITED

dba DWS INVESTMENTS HONG KONG LIMITED · CRD 139666 · Registered Investment Adviser

Criminal disclosureRegulatory disclosureCivil/Other disclosure

DWS INVESTMENTS HONG KONG LIMITED is a Registered Investment Adviser. The firm reports $5,103,535,600 in regulatory assets under management across 10 accounts. It reports 15 Form ADV Item 11 disciplinary disclosure(s) (Criminal, Regulatory, Civil/Other).

Regulatory assets under management

Discretionary$5,103,535,600
Non-discretionary$0
Total RAUM$5,103,535,600
Accounts10

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 15 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)Yes
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)Yes

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 139666. adviserinfo.sec.gov/firm/summary/139666.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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