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

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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 “

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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

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