9AT: HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED

HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED

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Adviser Profile

As of Date	03/28/2025
Adviser Type - Large advisory firm - Outside the United States
Number of Employees	297 12.08%
of those in investment advisory functions	104 18.18%
Registration	SEC, Approved, 07/02/1987

AUM^*	128,353,360,923 29.63%
of that, discretionary	128,353,360,923 29.63%
Private Fund GAV^*	0
Avg Account Size	445,671,392 130.46%
SMA’s	Yes
Private Funds	0
Contact Info	852 xxxxxxx

Client Types

- Banking or thrift institutions
- Pooled investment vehicles
- Pension and profit sharing plans
- State or municipal government entities
- Other investment advisers
- Insurance companies
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- Selection of other advisers

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

Reported AUM

109B 93B 78B 62B 47B 31B 16B

2015 2016 2017 2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

GAV Count

Employees

Brochure Summary

Overview

A. GENERAL DESCRIPTION OF THE ADVISORY FIRM HSBC Global Asset Management (Hong Kong) Limited (“AMHK”) is wholly-owned subsidiary of The Hongkong and Shanghai Banking Corporation Limited, and is indirectly owned by HSBC Holdings plc (“HSBC Group”). HSBC Group is a publicly owned corporation based in London, England and trades on various stock exchanges around the world. AMHK registered with the SEC as an investment adviser effective July 2, 1987. AMHK provides discretionary investment management and investment advisory service to US clients. AMHK is an entity within HSBC Asset Management (“HSBC AM”), which is made up of a group of companies in countries and territories throughout the world that are engaged in investment advisory and portfolio management activities. B. TYPES OF ADVISORY SERVICES AMHK provides discretionary investment

management and investment advisory services to clients on one or more types of the following investments:
• Equities
• Fixed Income
• Unit Trusts and Mutual Funds
• ETFs
• REITs
• Deposits
• Alternatives From time to time, AMHK may also provide non-discretionary investment advisory services to non-US clients. C. INVESTMENT RESTRICTIONS AMHK offers advisory services to meet institutional clients’ needs. Clients may provide us with their specific investment guidelines and we will use our best efforts to meet their needs. D. WRAP FEE PROGRAMS AMHK does not participate in wrap fee programs for our US clients. E. REGULATORY ASSETS UNDER MANAGEMENT Total client assets under our management as of 31 December 2023 are as follows:
• USD 87,566,000,881 on a discretionary basis