Galaxy Asset Management (HK) Ltd Need help with terms? Hong Kong Type: Commodity Trading Advisor (CTA) Registrations: Hong Kong Securities and Futures Commission Program Past 12 Months Aug YTD CAROR WDD AUM Min Inv Visits Galaxy Quantitative Fund -0.90 -13.48 $ 100k 10930 Past performance is not necessarily indicative of future results. The risk of loss in trading commodity futures, options, and foreign exchange ("forex") is substantial. CTA Introduction Galaxy, as one of the first alternative investment companies established in Hong Kong, commenced operation in early 1998 to manage the partners’ own capital, employing macro strategies in global markets including equities, fixed income and currencies. Since 2004, the firm has focused mainly on Asia and in particular Greater China. It has now transformed into a family of funds with over USD 1 billion assets under management in 2007. The investors are mainly institutional, including banks, insurance companies, fund of funds, family offices, non-bank financial corporations, private enterprises and high net worth individuals from Europe, Middle East, Asia and the U.S. Galaxy Asset Management is licensed and regulated by the Hong Kong Securities and Futures Commission for Type 4 activities (Advising on Securities), Type 5 activities (Advising on Futures Contracts) and Type 9 activities (Asset Management), and is also licensed as a manager of mutual fund under the Mutual Funds Acts, 1996 of the Territory of the Cayman. Galaxy Capital Limited is licensed and regulated by the Hong Kong Securities and Futures Commission for Type 6 activities (Advising on Corporate Finance). The geographical focus of Galaxy is Asia and in particular Greater China. In terms of asset classes, the primary focus has been equities or equity-related securities, although the firm is branching out into other asset classes such as physical mines and fixed income securities. Galaxy has offices in Hong Kong and Shanghai. The Galaxy’s team consists of 30 professionals, including 17 people in the investment team, 10 people in the middle office team and 3 people in the marketing and client services team. The team: has experience spanning over a wide range of disciplines, comprising macro and fundamental research, small cap research, private equity research, quantitative research, portfolio management, trading, risk management, mining exploration and operation, mergers and acquisitions, debt/equity capital markets, corporate advisory and due diligence. has collectively acquired well over 150 years of successful investment experience at premier firms. has managed multi-billion US dollars of assets and has advised numerous institutions, private clients and official bodies. has strong connections with different market players, regulators and investors.