Ex-Nomura China CEO & Chairman of Investment Banking Asia ex-Japan Yang Zhizhong Lost Hong Kong $4.1 Million Lawsuit & to Pay All Legal Costs Against Nomura for Wrongful Termination, Claimed Nomura Violated Contract by Issuing Warning Letter & Forfeiting Bonus Before Terminating His Employment in 2017, Yang Zhizhong Had Arranged Meetings for Research Analysts & Potential Clients Without Compliance Approval, Hong Kong SFC Investigated Nomura after Head of Research Had Meeting with Yang Zhizhong & CEO of Huatai Securities in 2015 Regarding a Potential IPO Candidate, Nomura Mandated as Book-runner for IPO 3 Working Days after Meeting Including Nomura Analyst Being Given Access to Non-Public Information, IPO Took Place in 2015 May, Hong Kong SFC Discovered Non-Compliance Deficiencies in 2016 May During On-Site Inspection, Yang Zhizhong is Currently a Partner at $378 Billion Alternative Asset Manager Ares Management

Caproasia.com | The leading source of data, research, information & resource for financial professionals, investment managers, professional investors, family offices & advisors to institutions, billionaires, UHNWs & HNWs. Covering capital markets, investments and private wealth in Asia. How do you invest $3 million to $300 million? How do you manage $20 million to $3 billion of assets? Caproasia - Learn more

Caproasia Access | Events | Summits | Register Events | The Financial Centre
The 2026 Investment Day | 2026 Family Office Summits | Family Office Circle

This site is for accredited investors, professional investors, investment managers and financial professionals only. You should have assets around $3 million to $300 million or managing $20 million to $30 billion.

---

Ex-Nomura China CEO & Chairman of Investment Banking Asia ex-Japan Yang Zhizhong Lost Hong Kong $4.1 Million Lawsuit & to Pay All Legal Costs Against Nomura for Wrongful Termination, Claimed Nomura Violated Contract by Issuing Warning Letter & Forfeiting Bonus Before Terminating His Employment in 2017, Yang Zhizhong Had Arranged Meetings for Research Analysts & Potential Clients Without Compliance Approval, Hong Kong SFC Investigated Nomura after Head of Research Had Meeting with Yang Zhizhong & CEO of Huatai Securities in 2015 Regarding a Potential IPO Candidate, Nomura Mandated as Book-runner for IPO 3 Working Days after Meeting Including Nomura Analyst Being Given Access to Non-Public Information, IPO Took Place in 2015 May, Hong Kong SFC Discovered Non-Compliance Deficiencies in 2016 May During On-Site Inspection, Yang Zhizhong is Currently a Partner at $378 Billion Alternative Asset Manager Ares Management

7th September 2024 | Hong Kong

The ex-Nomura China CEO & Chairman of Investment Banking Asia ex-Japan Yang Zhizhong had lost the Hong Kong $4.1 million lawsuit (Base salary of $618,703, $1.9 million bonus, $1.6 million unvested bonuses), and to pay all legal costs against Nomura for wrongful termination.  Yang Zhizhong claimed Nomura had violated contract by issuing warning letter & forfeiting bonus before terminating his employment in 2017.  Yang Zhizhong had arranged meetings for research analysts & potential clients without compliance approval.  The Hong Kong Securities & Futures Commission (SFC) had investigated Nomura after Head of Research had a meeting with Yang zhizhong & CEO of Huatai Securities in 2015 regarding a potential IPO candidate.  3 working days after the meeting, Nomura was mandated as book-runner for the IPO, including Nomura analyst being given access to non-public information.  The IPO took place in 2015 May.  The Hong Kong SFC discovered the non-compliance deficiencies in 2016 May during on-site inspection.  Yang Zhizhong is currently a partner at $378 billion alternative asset manager Ares Management.  

“ Ex-Nomura China CEO & Chairman of Investment Banking Asia ex-Japan Yang Zhizhong Lost Hong Kong $4.1 Million Lawsuit & to Pay All Legal Costs Against Nomura for Wrongful Termination, Claimed Nomura Violated Contract by Issuing Warning Letter & Forfeiting Bonus Before Terminating His Employment in 2017, Yang Zhizhong Had Arranged Meetings for Research Analysts & Potential Clients Without Compliance Approval, Hong Kong SFC Investigated Nomura after Head of Research Had Meeting with Yang Zhizhong & CEO of Huatai Securities in 2015 Regarding a Potential IPO Candidate, Nomura Mandated as Book-runner for IPO 3 Working Days after Meeting Including Nomura Analyst Being Given Access to Non-Public Information, IPO Took Place in 2015 May, Hong Kong SFC Discovered Non-Compliance Deficiencies in 2016 May During On-Site Inspection, Yang Zhizhong is Currently a Partner at $378 Billion Alternative Asset Manager Ares Management “

- Article continues below -

Quick Links, Ads & Announcements
Caproasia Access | Events | Summits | Register Events | The Financial Centre
The 2026 Investment Day | 2026 Family Office Summits | Family Office Circle

Intelligence at your fingertips
Get Started ($29 per year) : Click here
Caproasia Subscription ($680 yearly | $70 monthly): Click here

The 2026 Investment Day
Hong Kong | Singapore
March / July / Sept / Oct / Nov
Private Equity, Hedge Funds, Boutique Funds, Private Markets & more. Join 20+ CIOs & Senior investment team, with > 60% single family offices with $300 million AUM. Taking place in Hong Kong and in Singapore. Every March, April, July, Sept, Oct & Nov.
Visit | Register here

The 2026 Family Office Summit
9th / 16th April & 15th Oct Hong Kong Ritz Carlton | 23rd / 30th April & 5th Nov Singapore Amara Sanctuary Resort
Join 60 single family offices & family office professionals in Hong Kong & Singapore
Links: 2026 Family Office Summit | Register here

2026 Investment / Alternatives Summit
March / Oct / Nov in Hong Kong & Singapore
Join leading asset managers, hedge funds, boutique funds, private equity, venture capital & real estate firms in Hong Kong, Singapore & Asia-Pacific at the Investment / Alternatives Summit. Join as delegate, speaker, presenter, partner & sponsor.
Visit | Register here

2026 Private Wealth Summit
April / Oct / Nov in Hong Kong & Singapore
Join CEOs, CIOs, Head of Private Banking, Head of Family Offices & Product Heads at The Private Wealth Summit.  Join as delegate, speaker, presenter, partner & sponsor.
Visit | Register here

Ex-Nomura China CEO & Chairman of Investment Banking Asia ex-Japan Yang Zhizhong Lost Hong Kong $4.1 Million Lawsuit & to Pay All Legal Costs Against Nomura for Wrongful Termination, Claimed Nomura Violated Contract by Issuing Warning Letter & Forfeiting Bonus Before Terminating His Employment in 2017, Yang Zhizhong Had Arranged Meetings for Research Analysts & Potential Clients Without Compliance Approval, Hong Kong SFC Investigated Nomura after Head of Research Had Meeting with Yang Zhizhong & CEO of Huatai Securities in 2015 Regarding a Potential IPO Candidate, Nomura Mandated as Book-runner for IPO 3 Working Days after Meeting Including Nomura Analyst Being Given Access to Non-Public Information, IPO Took Place in 2015 May, Hong Kong SFC Discovered Non-Compliance Deficiencies in 2016 May During On-Site Inspection, Yang Zhizhong is Currently a Partner at $378 Billion Alternative Asset Manager Ares Management

Managing $20 million to $3 billion. Investing $3 million to $300 million.
For Investment Managers, Hedge Funds, Boutique Funds, Private Equity, Venture Capital, Professional Investors, Family Offices, Private Bankers & Advisors, sign up today. Subscribe to Caproasia and receive the latest news, data, insights & reports, events & programs daily at 2 pm.

Join Events & Find Services
Join Investments, Private Wealth, Family Office events in Hong Kong, Singapore, Asia-wide. Find hard-to-find $3 million to $300 million financial & investment services at The Financial Centre | TFC. Find financial, investment, private wealth, family office, real estate, luxury investments, citizenship, law firms & more.  List hard-to-find financial & private wealth services.

Have a product launch? Promote a product or service? List your service at The Financial Centre | TFC. Join interviews & editorial and be featured on Caproasia.com or join Investments, Private Wealth, Family Office events. Contact us at [email protected] or [email protected]

Caproasia.com | The leading source of data, research, information & resource for financial professionals, investment managers, professional investors, family offices & advisors to institutions, billionaires, UHNWs & HNWs. Covering capital markets, investments and private wealth in Asia. How do you invest $3 million to $300 million? How do you manage $20 million to $3 billion of assets?

Quick Links

Caproasia Access | Events | Summits | Register Events | The Financial Centre
The 2026 Investment Day | 2026 Family Office Summits | Family Office Circle

Web links may be disabled on mobile for security.
Please click on desktop.

---

New to Caproasia
Learn More | Sign Up | Subscribe | Register Events

Caproasia Users

• Manage $20 million to $30 billion of assets
• Invest $3 million to $300 million
• Advise institutions, billionaires, UHNWs & HNWs

Caproasia Platforms | 11,000 Investors & Advisors

• Caproasia.com
• Caproasia Access
• Caproasia Events
• The Financial Centre | Find Services
• Membership
• Family Office Circle
• Professional Investor Circle
• Investor Relations Network

Monthly Roundtable & Networking

• Professional Investor
• Family Office
• HNW Partnership

Family Office Programs

• Family Office Circle
• Family Office Networking
• Family Office Roundtable
• The Family Office Summit

The 2026 Investment Day

• March - Hong Kong
• March - Singapore
• April - Hong Kong
• April - Singapore
• July - Hong Kong
• July - Singapore
• Sept- Hong Kong
• Sept - Singapore
• Oct- Hong Kong
• Nov - Singapore
• Visit: The Investment Day | Register: Click here

Caproasia Summits

• The Institutional Investor Summit
• The Investment / Alternatives Summit
• The Private Wealth Summit
• The Family Office Summit
• The CEO & Entrepreneur Summit
• The Capital Markets Summit
• The ESG / Sustainable Investment Summit

Contact Us

For Enquiries, Membership
[email protected], [email protected]

For Listing, Subscription
[email protected], [email protected]

For Press Release, send to:
[email protected]

For Events & Webinars
[email protected]

For Media Kit, Advertising, Sponsorships, Partnerships
[email protected]

For Research, Data, Surveys, Reports
[email protected]

For General Enquiries
[email protected]

---

Caproasia | Driving the future of Asia
a financial information technology co.
since 2014

---