SFC licensees per firm

In an activity at a firm, a licensee is either a Responsible Officer (RO) or a Representative (Rep). When Activity is set to "All", a person who holds both roles (in different activities) is treated as an RO. "Reps v total" is a measure of how bottom-heavy a firm is, because the ROs supervise the Reps. We query the SFC database and update the tables regularly. Licensees are not necessarily full-time employees and may be licensed to more than 1 firm. We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions. So there's no level playing field between banks and SFC-licensed firms.

Click on the last column to see the history of a firm.

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Row	Name	ROs	Reps	Total	Reps v total %	Licensed
1	CES Forex (HK) Limited	4	127	131	96.95
2	HSBC BROKING FOREX (ASIA) LIMITED	5	73	78	93.59
3	Guotai Junan FX Limited	3	55	58	94.83	2010-10-21
4	Interactive Brokers Hong Kong Limited	3	51	54	94.44	2015-03-26
5	PHILLIP COMMODITIES (H.K.) LIMITED	2	32	34	94.12	2003-12-09
6	EMPEROR INTERNATIONAL EXCHANGE (HONG KONG) COMPANY LIMITED	3	30	33	90.91
7	CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED	1	16	17	94.12	2003-10-31
8	BRIGHT SMART FOREX LIMITED	3	12	15	80.00	2013-03-11
9	Futu Securities International (HONG KONG) Limited	4	6	10	60.00	2020-12-28
10	Rakuten Securities Hong Kong Limited	3	7	10	70.00
11	BROWN BROTHERS HARRIMAN (HONG KONG) LIMITED	4	5	9	55.56	2011-01-04
12	GMO-Z.com Forex HK Limited	3	6	9	66.67	2012-06-22
13	Eddid Securities and Futures Limited	3	5	8	62.50	2018-11-26
14	iSAM Securities (HK) Limited	3	4	7	57.14	2019-12-23
15	MAN INVESTMENTS (HONG KONG) LIMITED	3	4	7	57.14	2009-03-31
16	MAN INVESTMENTS (HONG KONG) LIMITED	3	4	7	57.14	2023-10-03
17	NBC Financial Markets Asia Limited	2	5	7	71.43	2017-09-20
18	Swissquote Asia Limited	3	4	7	57.14	2013-02-25
19	WOCOM FOREIGN EXCHANGE CO. LIMITED	2	5	7	71.43
20	Saxo Capital Markets HK Limited	3	3	6	50.00	2011-01-19
21	AXA Investment Managers Asia Limited	2	2	4	50.00	2020-01-09
22	Core Securities Company Limited (The)	1	3	4	75.00	2023-08-30
23	Sumitomo Mitsui Trust (Hong Kong) Limited	3	1	4	25.00	2023-02-16
24	ZHONGRONG PT SECURITIES LIMITED	3	1	4	25.00	2010-07-30
25	HAI Cloud Exchange (HK) Limited	2	1	3	33.33	2018-08-16
26	MAGIC COMPASS SECURITIES LIMITED	2	1	3	33.33	2021-12-20
27	PingPong Intelligence Limited	3	0	3	0.00	2020-07-02
28	KOG FOREX LIMITED	2	0	2	0.00	2013-01-08
29	WING FUNG FOREX LIMITED	2	0	2	0.00	2009-01-08
29	Average	2.76	15.97	18.72	85.27

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