SFC licensees per firm: Advising on futures contracts

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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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

Start date: End date:
Activity type:

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2003-04-01 2004-03-31 Change Rep v total
Row Name RO Rep Total RO Rep Total RO Rep Total Start
%		 End
%		 Licence
start		 Licence
end
1 KGI FUTURES (HONG KONG) LIMITED 1 142 143 3 111 114 2 -31 -29 99.30 97.37
2 HSBC BROKING FUTURES (ASIA) LIMITED 3 103 106 3 91 94 0 -12 -12 97.17 96.81 2004-09-10
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 112 115 2 88 90 -1 -24 -25 97.39 97.78
4 CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED 2 101 103 2 74 76 0 -27 -27 98.06 97.37 2004-10-25
5 GOLDMAN SACHS FUTURES (ASIA) LIMITED 1 88 89 0 72 72 -1 -16 -17 98.88 100.00 2016-10-10
6 MERRILL LYNCH FUTURES (HONG KONG) LIMITED 2 76 78 1 68 69 -1 -8 -9 97.44 98.55 2005-01-25
7 JEFFERIES BACHE (HONG KONG) LIMITED 2 79 81 2 61 63 0 -18 -18 97.53 96.83 2004-12-10
8 Nomura Asia Investment (Hong Kong) Limited 1 53 54 1 49 50 0 -4 -4 98.15 98.00 2005-01-25
9 SHENWAN HONGYUAN FUTURES (H.K.) LIMITED 2 73 75 1 43 44 -1 -30 -31 97.33 97.73 2004-12-08
10 HSBC BROKING FUTURES (HONG KONG) LIMITED 4 50 54 3 35 38 -1 -15 -16 92.59 92.11 2004-09-10
11 NOMURA INTERNATIONAL (HONG KONG) LIMITED 1 35 36 1 36 37 0 1 1 97.22 97.30
12 Funderstone Futures Limited 4 30 34 4 28 32 0 -2 -2 88.24 87.50
13 VC INTERNATIONAL TRADING LIMITED 1 43 44 1 31 32 0 -12 -12 97.73 96.88 2022-10-27
14 CHOW SANG SANG FUTURES LIMITED 2 28 30 2 26 28 0 -2 -2 93.33 92.86 2004-11-12
15 JPMorgan Asset Management (Asia Pacific) Limited 4 21 25 3 24 27 -1 3 2 84.00 88.89
16 AISANCE ASSET MANAGEMENT LIMITED 1 28 29 0 26 26 -1 -2 -3 96.55 100.00 2004-09-02
17 REXCAPITAL FUTURES LIMITED 1 36 37 1 25 26 0 -11 -11 97.30 96.15 2004-11-30
18 Duncan Futures Limited 3 26 29 3 21 24 0 -5 -5 89.66 87.50 2005-03-08
19 EMPEROR FUTURES LIMITED 2 30 32 2 22 24 0 -8 -8 93.75 91.67
20 KAISER FUTURES LIMITED 4 26 30 2 22 24 -2 -4 -6 86.67 91.67 2005-02-18
21 NEW TREND FUTURES LIMITED 3 21 24 3 19 22 0 -2 -2 87.50 86.36 2004-10-25
22 SHUN LOONG FUTURES LIMITED 2 35 37 1 20 21 -1 -15 -16 94.59 95.24 2005-01-13
23 GET NICE FUTURES COMPANY LIMITED 1 25 26 1 19 20 0 -6 -6 96.15 95.00
24 RBC FUTURES SERVICES (ASIA) LIMITED 1 27 28 1 19 20 0 -8 -8 96.43 95.00 2005-10-28
25 PRUDENTIAL INDEX TRADING COMPANY LIMITED 1 24 25 1 18 19 0 -6 -6 96.00 94.74
26 J.P. MORGAN BROKING (HONG KONG) LIMITED 0 0 0 3 15 18 3 15 18 - 83.33 2003-12-02
27 FIRST SHANGHAI FUTURES LIMITED 2 17 19 2 15 17 0 -2 -2 89.47 88.24
28 STATE STREET GLOBAL ADVISORS ASIA LIMITED 1 13 14 2 15 17 1 2 3 92.86 88.24
29 Well Link International Securities Limited 3 29 32 3 14 17 0 -15 -15 90.63 82.35 2005-02-14
30 ADMIS Hong Kong Limited 1 15 16 3 13 16 2 -2 0 93.75 81.25
31 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 1 22 23 2 14 16 1 -8 -7 95.65 87.50
32 KINGSTON FUTURES LIMITED 2 19 21 2 14 16 0 -5 -5 90.48 87.50 2005-01-24
33 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 15 17 2 13 15 0 -2 -2 88.24 86.67 2018-12-31
34 KARL-THOMSON COMMODITIES COMPANY LIMITED 2 15 17 2 13 15 0 -2 -2 88.24 86.67 2004-11-26
35 BEAR STEARNS HONG KONG LIMITED 1 13 14 1 13 14 0 0 0 92.86 92.86 2009-05-14
36 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 4 9 13 4 10 14 0 1 1 69.23 71.43
37 UBS SECURITIES ASIA LIMITED 1 18 19 1 13 14 0 -5 -5 94.74 92.86 2005-02-04
38 HANG SENG FUTURES LIMITED 4 3 7 4 8 12 0 5 5 42.86 66.67 2017-11-17
39 BARING ASSET MANAGEMENT (ASIA) LIMITED 1 12 13 3 8 11 2 -4 -2 92.31 72.73
40 CHIEF COMMODITIES LIMITED 2 6 8 2 9 11 0 3 3 75.00 81.82 2004-10-15
41 DELTA ASIA FINANCIAL FUTURES LIMITED 1 14 15 1 10 11 0 -4 -4 93.33 90.91
42 CLSA FUTURES LIMITED 4 23 27 2 8 10 -2 -15 -17 85.19 80.00 2016-06-02
43 DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED 1 10 11 1 9 10 0 -1 -1 90.91 90.00 2005-01-25
44 HSBC Global Asset Management (Hong Kong) Limited 2 8 10 3 7 10 1 -1 0 80.00 70.00
45 SUN'S FUTURE LIMITED 3 6 9 3 7 10 0 1 1 66.67 70.00 2005-02-18
46 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 3 9 12 3 7 10 0 -2 -2 75.00 70.00 2016-04-19
47 CMB INTERNATIONAL FUTURES LIMITED 2 9 11 2 7 9 0 -2 -2 81.82 77.78 2004-11-26
48 Manulife Investment Management (Hong Kong) Limited 1 6 7 2 7 9 1 1 2 85.71 77.78
49 SPS COMMODITIES LIMITED 2 8 10 2 7 9 0 -1 -1 80.00 77.78 2005-01-20
50 CHARLES SCHWAB, HONG KONG, LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2016-08-31
51 Legg Mason Asset Management Hong Kong Limited 2 7 9 1 7 8 -1 0 -1 77.78 87.50 2006-09-25
52 QUAM FUTURES LIMITED 3 16 19 3 5 8 0 -11 -11 84.21 62.50 2005-02-28
53 UBS DERIVATIVES HONG KONG LIMITED 1 8 9 1 7 8 0 -1 -1 88.89 87.50 2005-02-07
54 YICKO FUTURES LIMITED 1 7 8 1 7 8 0 0 0 87.50 87.50 2004-06-01
55 BNP PARIBAS FUTURES (HONG KONG) LIMITED 1 5 6 1 6 7 0 1 1 83.33 85.71 2004-11-29
56 CELESTIAL COMMODITIES LIMITED 2 113 115 0 7 7 -2 -106 -108 98.26 100.00 2005-01-25
57 CHONG HING COMMODITIES AND FUTURES LIMITED 4 4 8 4 3 7 0 -1 -1 50.00 42.86 2005-01-19
58 Credit Suisse Futures (Hong Kong) Limited 1 10 11 0 7 7 -1 -3 -4 90.91 100.00 2005-01-03
59 METRO CAPITAL FUTURES LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2014-11-26
60 PEACE TOWN FUTURES LIMITED 4 15 19 4 3 7 0 -12 -12 78.95 42.86 2012-09-27
61 RBS Asia Futures Limited 2 5 7 2 5 7 0 0 0 71.43 71.43 2005-01-25
62 RG ASSET MANAGEMENT COMPANY LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14 2013-11-25
63 ROCTEC FUTURES TRADING COMPANY LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2005-01-21
64 SIU YIP COMMODITY LIMITED 4 4 8 3 4 7 -1 0 -1 50.00 57.14 2004-11-26
65 SOUTHWEST SECURITIES (HK) FUTURES LIMITED 2 111 113 0 7 7 -2 -104 -106 98.23 100.00 2003-08-06
66 Vision Capital Investment Management Limited 0 0 0 2 5 7 2 5 7 - 71.43 2003-12-17 2004-07-30
67 ABN AMRO Clearing (Futures) Hong Kong Limited 2 6 8 1 5 6 -1 -1 -2 75.00 83.33 2005-03-03
68 CSI Corporate Finance (HK) Limited 2 0 2 2 4 6 0 4 4 0.00 66.67 2004-07-30
69 GOLDMAN SACHS (ASIA) L.L.C. 2 3 5 3 3 6 1 0 1 60.00 50.00
70 Legg Mason International Equities (Hong Kong) Limited 2 4 6 1 5 6 -1 1 0 66.67 83.33 2006-09-25
71 MUSHK Limited 1 5 6 2 4 6 1 -1 0 83.33 66.67 2011-06-01
72 OKACHI (HONG KONG) COMPANY LIMITED 2 16 18 1 5 6 -1 -11 -12 88.89 83.33 2005-02-07
73 SOUTH CHINA COMMODITIES LIMITED 3 74 77 3 3 6 0 -71 -71 96.10 50.00 2005-01-31
74 Tyric Capital Limited 0 0 0 2 4 6 2 4 6 - 66.67 2003-11-13
75 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 4 4 8 4 1 5 0 -3 -3 50.00 20.00 2012-06-25
76 AllianceBernstein Hong Kong Limited 2 2 4 3 2 5 1 0 1 50.00 40.00
77 Allianz Global Investors Hong Kong Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2007-06-28
78 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 33 35 3 2 5 1 -31 -30 94.29 40.00 2018-09-21
79 GAM HONG KONG LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2013-06-19
80 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00
81 MAGUSTA FUTURES LIMITED 2 6 8 2 3 5 0 -3 -3 75.00 60.00 2013-02-26
82 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
83 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 1 3 4 2 3 5 1 0 1 75.00 60.00 2012-01-12
84 TC Investment Management (Asia) Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2008-02-14
85 UNI-ALPHA FUTURES LIMITED 1 5 6 1 4 5 0 -1 -1 83.33 80.00 2004-08-30
86 ALPHA FUTURES COMPANY LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2005-01-24
87 Arta Global Futures Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2004-11-19
88 BEA Union Investment Management Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2022-07-12
89 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2004-12-03
90 CES Commodities (HK) Limited 2 226 228 1 3 4 -1 -223 -224 99.12 75.00 2005-03-08
91 CIBC Global Asset Management (Asia) Limited 1 3 4 1 3 4 0 0 0 75.00 75.00 2006-01-10
92 HAITONG INTERNATIONAL FUTURES LIMITED 2 157 159 4 0 4 2 -157 -155 98.74 0.00
93 INVESCO HONG KONG LIMITED 4 0 4 3 1 4 -1 1 0 0.00 25.00
94 PHOENIX CAPITAL FUTURES LIMITED 3 3 6 2 2 4 -1 -1 -2 50.00 50.00 2005-02-01
95 TAIFAIR FUTURES LIMITED 1 4 5 1 3 4 0 -1 -1 80.00 75.00 2005-02-23
96 TOPMORE COMMODITIES LIMITED 3 15 18 3 1 4 0 -14 -14 83.33 25.00 2004-11-22
97 Vantum Securities and Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-09-16
98 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2015-02-09
99 Yuanta Asia Investment (Hong Kong) Limited 0 0 0 2 2 4 2 2 4 - 50.00 2003-08-13 2013-11-01
100 AKTIS CAPITAL ADVISORY LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2003-11-29
101 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2015-06-15
102 BARCLAYS CAPITAL FUTURES HONG KONG LIMITED 2 5 7 0 3 3 -2 -2 -4 71.43 100.00 2004-12-28
103 BNP PARIBAS PEREGRINE FUTURES LIMITED 2 42 44 1 2 3 -1 -40 -41 95.45 66.67 2004-05-17
104 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 1 2 3 1 2 3 0 0 0 66.67 66.67 2007-07-12
105 DEUTSCHE SECURITIES ASIA LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2004-01-08 2020-02-04
106 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
107 First Sentier Investors (Hong Kong) Limited 1 2 3 1 2 3 0 0 0 66.67 66.67 2006-08-29
108 FIRST STATE (HONG KONG) LLC 1 2 3 1 2 3 0 0 0 66.67 66.67 2006-08-29
109 HAMON ASSET MANAGEMENT LIMITED 1 0 1 1 2 3 0 2 2 0.00 66.67
110 HSBC Global Asset Management Holdings (Bahamas) Limited 1 0 1 3 0 3 2 0 2 0.00 0.00 2020-06-02
111 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 1 0 1 3 0 3 2 0 2 0.00 0.00
112 Mackenzie Investments Asia Limited 1 2 3 3 0 3 2 -2 0 66.67 0.00 2006-11-14
113 Nerico Brothers Limited (HK) 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2004-08-02
114 Nomura Asset Management Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2004-12-16
115 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
116 PFP Capital Limited 1 0 1 1 2 3 0 2 2 0.00 66.67
117 PI INVESTMENT MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2007-09-28
118 PineBridge Investments Hong Kong Limited 1 2 3 1 2 3 0 0 0 66.67 66.67 2005-03-15
119 SATTVA INVESTMENT ADVISORS LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2003-10-30 2015-04-22
120 SBI China Capital Commodities Limited 1 17 18 1 2 3 0 -15 -15 94.44 66.67 2013-07-16
121 STANDARD & POOR'S, LLC 2 0 2 2 1 3 0 1 1 0.00 33.33 2005-03-30
122 Standard Commodities (Asia) Limited 1 2 3 1 2 3 0 0 0 66.67 66.67 2008-05-16
123 TAI YIP COMMODITIES & FUTURES LIMITED 2 4 6 2 1 3 0 -3 -3 66.67 33.33 2004-11-19
124 UPBEST COMMODITIES COMPANY LIMITED 1 9 10 2 1 3 1 -8 -7 90.00 33.33
125 WFM Asia (HK) Limited 1 2 3 1 2 3 0 0 0 66.67 66.67 2013-11-05
126 YUE XIU FUTURES COMPANY LIMITED 3 4 7 2 1 3 -1 -3 -4 57.14 33.33 2024-07-30
127 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
128 ASIA DEBT MANAGEMENT HONG KONG LIMITED 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-06-29
129 BNP PARIBAS DEALING SERVICES ASIA LIMITED 1 2 3 1 1 2 0 -1 -1 66.67 50.00 2010-11-03
130 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
131 CHAOS INTERNATIONAL FINANCIAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-06-10
132 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
133 CINDA INTERNATIONAL FUTURES LIMITED 4 69 73 0 2 2 -4 -67 -71 94.52 100.00 2003-07-29
134 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2011-03-23
135 CNCB (Hong Kong) Capital Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2015-08-20
136 FIL Investment Advisors 1 1 2 1 1 2 0 0 0 50.00 50.00
137 FIL Investment Management (Hong Kong) Limited 1 1 2 1 1 2 0 0 0 50.00 50.00
138 Finet Securities Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2004-09-23
139 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
140 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2024-03-21
141 GM FINANCIAL FORMULA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-09
142 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 1 2 3 1 1 2 0 -1 -1 66.67 50.00
143 HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-07-07
144 ICBC Asset Management (Global) Company Limited 1 2 3 1 1 2 0 -1 -1 66.67 50.00
145 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
146 JPMorgan Asset Management (Japan) Limited 1 0 1 2 0 2 1 0 1 0.00 0.00 2011-07-15
147 KuCoin Commodity Futures Limited 2 5 7 1 1 2 -1 -4 -5 71.43 50.00 2004-11-01
148 LIM ADVISORS LIMITED 2 2 4 1 1 2 -1 -1 -2 50.00 50.00 2021-02-17
149 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
150 PGIM (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-02-04
151 PineBridge Investments Asia Limited 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-03-15
152 Planetree Futures Limited 2 6 8 2 0 2 0 -6 -6 75.00 0.00 2004-09-28
153 PRUDENCE FUTURES LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2004-04-16
154 RICHMOND ASSET MANAGEMENT LIMITED (HK) 1 0 1 1 1 2 0 1 1 0.00 50.00 2005-01-13
155 SAGE ASSET MANAGEMENT (HK) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2006-10-13
156 SOFAER GLOBAL RESEARCH (HK) LIMITED 0 3 3 0 2 2 0 -1 -1 100.00 100.00 2011-01-18
157 STOCKWELL COMMODITIES LIMITED 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-02-22
158 STRATEGIC OPTIONS INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-12-05
159 Success Futures and Foreign Exchange Limited 2 3 5 1 1 2 -1 -2 -3 60.00 50.00 2004-08-31
160 Sumitomo Mitsui DS Asset Management (Hong Kong) Limited 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2005-01-25
161 Sunwah Kingsway Leasing and Finance Limited 3 9 12 1 1 2 -2 -8 -10 75.00 50.00 2004-06-24
162 VALUE PARTNERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
163 WELLAM INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-12-24
164 WONDER FACE FUND MANAGEMENT COMPANY LIMITED 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-02-17
165 ABN AMRO Clearing Hong Kong Limited 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2005-03-03
166 AXA Investment Managers Asia Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2015-06-15
167 AXIOM INVESTMENT MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2014-05-07
168 BROOKE CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-01
169 CES International Commodities (HK) Limited 2 2 4 1 0 1 -1 -2 -3 50.00 0.00 2005-03-07
170 China Enterprise Securities Company Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2004-11-10
171 CHINA INTERNATIONAL CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-28
172 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
173 GRAND ALLIANCE ASSET MANAGEMENT LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2004-09-02
174 Greentech Technology Asset Management Company Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-20
175 HKFN WEALTH STRATEGY LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-11
176 HONG KONG INTERNATIONAL FUTURES LIMITED 6 14 20 1 0 1 -5 -14 -19 70.00 0.00 2004-07-20
177 ICHIYOSHI INTERNATIONAL (H.K.) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2004-12-01
178 IMPAC ASSET MANAGEMENT (HK) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2017-01-03
179 Interactive Brokers LLC 0 2 2 0 1 1 0 -1 -1 100.00 100.00 2004-12-22
180 JAGUAR INVESTMENT SERVICES, LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2015-06-22
181 KING FOOK COMMODITIES COMPANY LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2005-03-07
182 MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2005-02-02
183 OVERLOOK INVESTMENTS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2010-01-05
184 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 3 20 23 1 0 1 -2 -20 -22 86.96 0.00 2008-09-05
185 PACIFIC GROUP LIMITED (THE) 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-24
186 PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2004-10-18
187 Quam Asset Management Limited (b1983-06-28) 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-28
188 REGENT FINANCIAL SERVICES LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2005-02-08
189 SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2004-09-13
190 SKY WARD GLOBAL MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2012-07-10
191 T Y International 1 0 1 1 0 1 0 0 0 0.00 0.00 2004-05-11
192 TAK FUNG COMMODITIES LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-03-31
193 VC International Asset Management Limited 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2005-01-19
194 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
195 WELLCHAMP CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-31
196 WINNINGTON CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
197 WTV GLOBAL INVESTMENTS MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-01
198 ASG FUTURES LIMITED 1 12 13 0 0 0 -1 -12 -13 92.31 - 2004-06-25
199 BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2007-01-31
200 BERICH FUTURES (H.K.) COMPANY LIMITED 0 5 5 0 0 0 0 -5 -5 100.00 - 2004-07-06
201 BOCI COMMODITIES & FUTURES LIMITED 1 34 35 0 0 0 -1 -34 -35 97.14 - 2004-01-13
202 BUSINESS FUTURES LIMITED 2 10 12 0 0 0 -2 -10 -12 83.33 - 2004-06-11
203 CDIB VENTURE INVESTMENT (H.K.) CORPORATION LIMITED 1 2 3 0 0 0 -1 -2 -3 66.67 - 2003-10-03
204 CHALLENGE COMMODITIES LIMITED 3 3 6 0 0 0 -3 -3 -6 50.00 - 2003-09-25
205 CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED 4 81 85 0 0 0 -4 -81 -85 95.29 - 2003-10-13
206 CORPORATE COMMODITIES LIMITED 3 27 30 0 0 0 -3 -27 -30 90.00 - 2004-02-18
207 CSC FUTURES (HK) LIMITED 1 21 22 0 0 0 -1 -21 -22 95.45 - 2004-03-29
208 DBS VICKERS FUTURES (HONG KONG) LIMITED 0 86 86 0 0 0 0 -86 -86 100.00 - 2004-06-30
209 EAST ASIA FUTURES LIMITED 1 6 7 0 0 0 -1 -6 -7 85.71 - 2004-02-02
210 EK INVESTMENT MANAGEMENT LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2003-12-03
211 ENLIGHTEN FUTURES LIMITED 2 6 8 0 0 0 -2 -6 -8 75.00 - 2004-11-30
212 EQ INVESTOR SERVICES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-12-31
213 FAIR EAGLE FUTURES COMPANY LIMITED 1 4 5 0 0 0 -1 -4 -5 80.00 - 2005-01-06
214 FUJI HONG KONG COMMODITIES COMPANY LIMITED 2 21 23 0 0 0 -2 -21 -23 91.30 - 2003-09-24
215 GAIN ASSET MANAGEMENT LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2003-12-17
216 Ge Shang Investment (Hong Kong) Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-11-05
217 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 17 19 0 0 0 -2 -17 -19 89.47 - 2004-02-25
218 HENDALE GROUP LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-09-24
219 HONOUR FUTURES LIMITED 2 8 10 0 0 0 -2 -8 -10 80.00 - 2004-09-03
220 HSBC Corporate Finance (Hong Kong) Limited 1 1 2 0 0 0 -1 -1 -2 50.00 - 2005-01-25
221 HSBC FUTURES (SINGAPORE) PTE LTD 2 10 12 0 0 0 -2 -10 -12 83.33 - 2003-08-29
222 HSBC STRUCTURED FUNDS (ASIA) LIMITED 2 5 7 0 0 0 -2 -5 -7 71.43 - 2004-02-10
223 HT CAPITAL MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-06-03
224 HUNG SING FUTURES LIMITED 1 2 3 0 0 0 -1 -2 -3 66.67 - 2004-11-23
225 INTERCHINA FUTURES LIMITED 2 18 20 0 0 0 -2 -18 -20 90.00 - 2004-01-14
226 J.P. MORGAN FUTURES HONG KONG LIMITED 2 19 21 0 0 0 -2 -19 -21 90.48 - 2003-12-08
227 KINGSWAY UNIT TRUST MANAGERS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-02-13
228 KWK ASIA MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-09-11
229 LEHMAN BROTHERS ASIA LIMITED 0 3 3 0 0 0 0 -3 -3 100.00 - 2003-09-19
230 LEHMAN BROTHERS FUTURES ASIA LIMITED 0 1 1 0 0 0 0 -1 -1 100.00 - 2003-09-08
231 MEGABASE FUTURES CO. LIMITED 2 4 6 0 0 0 -2 -4 -6 66.67 - 2003-11-22
232 MIB FUTURES (HONG KONG) LIMITED 1 16 17 0 0 0 -1 -16 -17 94.12 - 2003-08-06
233 NATIXIS COMMODITY MARKETS (ASIA) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-06-18
234 Newedge Broker Hong Kong Limited 0 12 12 0 0 0 0 -12 -12 100.00 - 2005-05-24
235 Newedge Broker Limited 2 16 18 0 0 0 -2 -16 -18 88.89 - 2004-10-08
236 NORMAN KONG COMMODITIES COMPANY LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2004-07-15
237 OCBC Futures Investment (Hong Kong) Limited 1 5 6 0 0 0 -1 -5 -6 83.33 - 2003-10-20
238 PO SANG SECURITIES LIMITED 2 12 14 0 0 0 -2 -12 -14 85.71 - 2004-01-14
239 Public Futures Limited 0 3 3 0 0 0 0 -3 -3 100.00 - 2003-10-31
240 SIMPLEX ASSET MANAGEMENT (HK) COMPANY LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-12-01
241 SINOPAC FUTURES (ASIA) LIMITED 1 12 13 0 0 0 -1 -12 -13 92.31 - 2014-09-25
242 TIMBER HILL HONG KONG LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2004-12-21
243 TOKAI TOKYO SECURITIES (ASIA) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-11-12
244 Tokio Marine Investment Services, Limited 0 1 1 0 0 0 0 -1 -1 100.00 - 2005-01-11
245 UFJ INVESTMENTS ASIA LIMITED 1 10 11 0 0 0 -1 -10 -11 90.91 - 2003-09-30
246 WIGRAM CAPITAL LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-08-06
247 WOCOM LIMITED (HK) 3 30 33 0 0 0 -3 -30 -33 90.91 - 2004-11-09
248 YF FUTURES COMPANY LIMITED 3 4 7 0 0 0 -3 -4 -7 57.14 - 2003-06-03
249 Youyu Credit Limited 1 7 8 0 0 0 -1 -7 -8 87.50 - 2003-08-01
250 YU ON COMMODITIES COMPANY LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2003-10-10
251 Zhonghao International Futures Co., Limited 3 6 9 0 0 0 -3 -6 -9 66.67 - 2003-10-30
Average 1.74 13.68 15.42 1.71 7.82 9.52 88.70 82.09

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