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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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.

Take me back:
Activity type:

Some data are hidden to fit your display. Rotate?

Row Name ROs Reps Total Reps v
total %		 Licensed
1 J.P. MORGAN BROKING (HONG KONG) LIMITED 13 186 199 93.47 2003-12-02
2 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 67 69 97.10 2010-11-26
3 Morgan Stanley Asia Limited 10 55 65 84.62 2006-04-07
4 JPMorgan Asset Management (Asia Pacific) Limited 5 49 54 90.74
5 BOCI SECURITIES LIMITED 2 40 42 95.24 2005-10-06
6 Futu Securities International (HONG KONG) Limited 5 26 31 83.87 2018-08-07
7 PHILLIP COMMODITIES (H.K.) LIMITED 4 24 28 85.71
8 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 23 26 88.46 2008-07-03
9 Manulife Investment Management (Hong Kong) Limited 6 20 26 76.92
10 HSBC Global Asset Management (Hong Kong) Limited 5 19 24 79.17
11 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 18 20 90.00
12 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 17 20 85.00
13 RBC INVESTMENT SERVICES (ASIA) LIMITED 2 18 20 90.00 2004-10-14
14 SHACOM FUTURES LIMITED 3 15 18 83.33
15 Oasis Management (Hong Kong) 4 13 17 76.47 2004-09-14
16 AllianceBernstein Hong Kong Limited 3 13 16 81.25
17 ZHESHANG INTERNATIONAL FINANCIAL HOLDINGS CO., LIMITED 3 12 15 80.00 2016-03-09
18 China Securities (International) Brokerage Company Limited 3 11 14 78.57 2014-10-28
19 COFCO Futures (International) Co., Limited 3 11 14 78.57 2020-03-16
20 FULBRIGHT FUTURES LIMITED 4 10 14 71.43 2012-03-20
21 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 10 14 71.43
22 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 4 9 13 69.23 2015-06-01
23 CHINA XIN YONGAN FUTURES COMPANY LIMITED 5 8 13 61.54 2014-06-25
24 EMPEROR FUTURES LIMITED 6 7 13 53.85
25 BOCOM International Securities Limited 3 9 12 75.00 2007-09-10
26 SMBC Nikko Securities (Hong Kong) Limited 4 8 12 66.67 2017-11-07
27 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 5 11 45.45
28 HAITONG INTERNATIONAL FUTURES LIMITED 4 7 11 63.64
29 KGI FUTURES (HONG KONG) LIMITED 5 6 11 54.55
30 Merrill Lynch (Asia Pacific) Limited 3 8 11 72.73 2017-04-26
31 SINOPAC SECURITIES (ASIA) LIMITED 3 8 11 72.73 2017-02-13
32 TFI Asset Management Limited 4 7 11 63.64 2014-03-10
33 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 3 7 10 70.00
34 CHIEF COMMODITIES LIMITED 4 6 10 60.00 2006-05-17
35 GET NICE FUTURES COMPANY LIMITED 3 7 10 70.00
36 Huaan Securities (Hong Kong) Futures Limited 3 7 10 70.00 2021-11-17
37 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 5 5 10 50.00 2015-06-19
38 Yuanta Securities (Hong Kong) Company Limited 2 8 10 80.00 2012-06-14
39 ENHANCED INVESTMENT PRODUCTS LIMITED 3 6 9 66.67
40 Hafoo Futures Limited 3 6 9 66.67 2017-11-21
41 HGNH International Futures Co., Limited 2 7 9 77.78 2010-11-01
42 JMC Capital International Limited 3 6 9 66.67 2019-01-31
43 Legend Arb Advisors Limited 3 6 9 66.67 2019-07-19
44 Eddid Securities and Futures Limited 4 4 8 50.00 2017-09-19
45 ICBC Asset Management (Global) Company Limited 4 4 8 50.00
46 BOCI COMMODITIES & FUTURES LIMITED 2 5 7 71.43 2004-11-17
47 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 6 1 7 14.29 2011-04-26
48 Credit Suisse (Hong Kong) Limited 2 5 7 71.43 2008-11-04
49 Guosen Securities (HK) Brokerage Company, Limited 2 5 7 71.43 2011-03-14
50 Jin Yi Financial Group Limited 2 5 7 71.43 2022-05-16
51 SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED 3 4 7 57.14 2017-02-22
52 Blackwell Global Asset Management Limited 2 4 6 66.67 2018-01-15
53 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 3 3 6 50.00 2011-02-15
54 BTL ASSET MANAGEMENT COMPANY LIMITED 3 3 6 50.00 2016-12-12
55 GOLDMAN SACHS (ASIA) L.L.C. 5 1 6 16.67
56 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 5 1 6 16.67
57 Hywin Asset Management (Hong Kong) Limited 2 4 6 66.67 2013-12-24
58 Minmetals Financial Services Limited 3 3 6 50.00 2018-10-08
59 NATIXIS ASIA LIMITED 3 3 6 50.00 2008-08-05
60 Sino-Rich Securities & Futures Limited 3 3 6 50.00 2012-06-21
61 TRADING CENTRAL ASIA LIMITED 4 2 6 33.33 2011-03-08
62 AP Capital Management (Hong Kong) Limited 2 3 5 60.00 2017-08-10
63 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 4 1 5 20.00
64 CITIC Futures International Company Limited 2 3 5 60.00 2019-08-23
65 Citigroup Global Markets Asia Limited 3 2 5 40.00 2013-01-09
66 FORTHRIGHT SECURITIES COMPANY LIMITED 4 1 5 20.00 2019-03-27
67 GOLDMAN SACHS (ASIA) SECURITIES LIMITED 4 1 5 20.00 2016-10-11
68 GUODU FUTURES (HONG KONG) LIMITED 2 3 5 60.00 2012-12-04
69 Huatai (Hong Kong) Futures Limited 3 2 5 40.00 2016-09-14
70 Soochow Securities International Futures Limited 2 3 5 60.00 2012-08-27
71 VALUABLE CAPITAL LIMITED 4 1 5 20.00 2020-04-22
72 Well Link International Securities Limited 2 3 5 60.00 2012-10-04
73 YUE XIU FUTURES COMPANY LIMITED 3 2 5 40.00
74 ZHENG DA INTERNATIONAL FINANCIAL HOLDING LIMITED 2 3 5 60.00 2019-11-04
75 AlTi Wealth Management (Hong Kong) Limited 2 2 4 50.00 2004-05-11
76 EIP Alpha Limited 2 2 4 50.00 2014-02-12
77 FIL Investment Advisors 3 1 4 25.00
78 FIL Investment Management (Hong Kong) Limited 3 1 4 25.00
79 Funderstone Futures Limited 2 2 4 50.00
80 Hua Liang Securities Limited 2 2 4 50.00 2019-06-03
81 Meta Futures Limited 2 2 4 50.00 2022-11-09
82 MFG Limited (HK) 3 1 4 25.00 2010-05-24
83 MIB FUTURES (HONG KONG) LIMITED 3 1 4 25.00 2011-03-25
84 NOMURA INTERNATIONAL (HONG KONG) LIMITED 2 2 4 50.00
85 PING AN OF CHINA FUTURES (HONG KONG) COMPANY LIMITED 3 1 4 25.00 2012-03-30
86 Planetree Research Limited 3 1 4 25.00 2023-09-27
87 PRUDENTIAL INDEX TRADING COMPANY LIMITED 3 1 4 25.00
88 RC Futures Advisory Limited 2 2 4 50.00 2010-05-19
89 SG SECURITIES (HK) LIMITED 3 1 4 25.00 2010-11-16
90 SINOIF International Futures Limited 2 2 4 50.00 2023-05-11
91 Superactive Financial Group Company Limited 2 2 4 50.00 2015-06-12
92 Synergy Futures Limited 3 1 4 25.00 2020-11-06
93 Topaz Financial Group Limited 3 1 4 25.00 2019-04-25
94 TradeMaster Securities (Hong Kong) Limited 2 2 4 50.00 2017-08-01
95 YUE XIU SECURITIES COMPANY LIMITED 4 0 4 0.00 2013-12-02
96 Zhong Yang Capital Limited 2 2 4 50.00 2018-02-05
97 Zhongfu International Futures Co., Limited 3 1 4 25.00 2020-12-15
98 Zinvest Global Limited 2 2 4 50.00 2018-03-28
99 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 3 0 3 0.00
100 China Best International Investment Consulting Company Limited 2 1 3 33.33 2013-05-08
101 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 1 3 33.33 2013-06-03
102 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 1 3 33.33 2012-08-28
103 CN FIRST INTERNATIONAL FUTURES LIMITED 3 0 3 0.00 2020-09-21
104 Essence Futures (Hong Kong) Limited 3 0 3 0.00 2010-10-25
105 Evergrande Futures (Hong Kong) Limited 2 1 3 33.33 2006-02-07
106 FIRST SHANGHAI FUTURES LIMITED 2 1 3 33.33
107 FUJI HONG KONG COMMODITIES COMPANY LIMITED 2 1 3 33.33 2022-07-20
108 GOING INTERNATIONAL (HK) FINANCIAL GROUP LIMITED 3 0 3 0.00 2020-12-30
109 Grand Capital Futures Limited 2 1 3 33.33 2019-10-10
110 Grand International Futures Co., Limited 2 1 3 33.33 2017-10-03
111 GUOYUAN FUTURES (HONG KONG) LIMITED 2 1 3 33.33 2008-03-05
112 HAMON ASSET MANAGEMENT LIMITED 2 1 3 33.33
113 HAMON INVESTMENT MANAGEMENT LIMITED 2 1 3 33.33
114 Hope Securities Limited (HK) 2 1 3 33.33 2019-11-28
115 Imagi Brokerage Limited 2 1 3 33.33 2018-05-25
116 Imperium International Asset Management Limited 3 0 3 0.00 2008-12-02
117 INVESCO HONG KONG LIMITED 2 1 3 33.33
118 iVenture Investment Management Limited 2 1 3 33.33
119 Jone Portman Limited 2 1 3 33.33 2023-04-19
120 LUK FOOK FUTURES (HK) LIMITED 2 1 3 33.33 2015-02-26
121 MAGIC COMPASS FUTURES LIMITED 3 0 3 0.00 2021-08-12
122 Manford Financial Limited 3 0 3 0.00 2022-02-09
123 Mason Futures Limited (HK) 2 1 3 33.33 2017-04-25
124 NFH Securities and Futures Limited 2 1 3 33.33 2016-08-25
125 Nuvama Investment Advisors (Hongkong) Private Limited 2 1 3 33.33 2020-04-14
126 Tiger Brokers (HK) Global Limited 2 1 3 33.33 2022-08-24
127 UPBEST COMMODITIES COMPANY LIMITED 3 0 3 0.00
128 WINTON CAPITAL ASIA LIMITED 2 1 3 33.33 2014-09-18
129 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 33.33 2012-02-24
130 ZHONGRONG PT SECURITIES LIMITED 2 1 3 33.33 2010-07-30
131 AD Capital Management (Hong Kong) Limited 2 0 2 0.00 2004-09-08
132 ADMIS Hong Kong Limited 2 0 2 0.00
133 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 0.00 2003-11-29
134 Augment Wealth Advisors Limited 2 0 2 0.00 2021-01-13
135 BALLINGAL INVESTMENT ADVISORS LIMITED 2 0 2 0.00 2004-08-13
136 Changjiang Securities Brokerage (HK) Limited 2 0 2 0.00 2016-07-26
137 CHARLESWIN BULLION LIMITED 2 0 2 0.00 2017-09-06
138 CHEONG LEE SECURITIES LIMITED 2 0 2 0.00 2009-08-27
139 China Enterprise Securities Company Limited 2 0 2 0.00 2019-02-19
140 CSC FUTURES (HK) LIMITED 2 0 2 0.00 2021-03-26
141 DELTA ASIA FINANCIAL FUTURES LIMITED 2 0 2 0.00
142 DORIC CAPITAL CORPORATION 2 0 2 0.00 2003-11-13
143 FAIR EAGLE FUTURES COMPANY LIMITED 2 0 2 0.00 2021-10-19
144 FUBON SECURITIES (HONG KONG) LIMITED 2 0 2 0.00 2019-06-05
145 Golden Hen Securities and Futures Limited 2 0 2 0.00 2024-03-12
146 Huaxin Futures Limited 2 0 2 0.00 2021-11-01
147 INVESTPORT (H.K.) LIMITED 2 0 2 0.00 2016-08-29
148 Lion Futures Limited 2 0 2 0.00 2016-12-29
149 LONGRUN FINANCIAL GROUP LIMITED 2 0 2 0.00 2016-12-28
150 Metaverse Securities Limited (HK) 2 0 2 0.00
151 MOUETTE SECURITIES COMPANY LIMITED 2 0 2 0.00 2024-06-14
152 Mulana Investment Management Limited 2 0 2 0.00 2024-07-02
153 Rifa Asset Management Limited 2 0 2 0.00 2017-10-27
154 Rui Da International Finance Holding Limited 2 0 2 0.00 2018-05-31
155 SDHG International Asset Management Limited 2 0 2 0.00 2008-12-02
156 Standard Chartered Securities (Hong Kong) Limited 2 0 2 0.00 2012-12-17
157 Topology Capital Limited 2 0 2 0.00 2023-11-22
158 VALUE PARTNERS HONG KONG LIMITED 2 0 2 0.00 2007-11-19
159 VALUE PARTNERS LIMITED 2 0 2 0.00
160 Waton Securities International Limited 2 0 2 0.00 2022-02-10
161 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 0.00
162 WING FUNG SECURITIES LIMITED 2 0 2 0.00 2017-09-21
163 WINNINGTON CAPITAL LIMITED 2 0 2 0.00
164 YF ASSET MANAGEMENT LIMITED 2 0 2 0.00 2013-04-16
165 Changjiang Futures (HK) Limited 1 0 1 0.00 2012-02-13
166 Da Yue Futures Co., Limited 1 0 1 0.00 2021-04-09
167 Future Securities Limited (HK) 0 1 1 100.00 2019-12-24
167 Average 2.80 5.74 8.54 67.18

Sign up for our free newsletter

Recommend Webb-site to a friend

Copyright & disclaimer, Privacy policy

Back to top