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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2003-04-30 2004-04-30 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 1 141 142 3 111 114 2 -30 -28 99.30 97.37
2 HSBC BROKING FUTURES (ASIA) LIMITED 3 100 103 3 84 87 0 -16 -16 97.09 96.55 2004-09-10
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 110 113 2 85 87 -1 -25 -26 97.35 97.70
4 CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED 2 98 100 2 72 74 0 -26 -26 98.00 97.30 2004-10-25
5 GOLDMAN SACHS FUTURES (ASIA) LIMITED 1 88 89 0 71 71 -1 -17 -18 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 77 79 2 56 58 0 -21 -21 97.47 96.55 2004-12-10
8 Nomura Asia Investment (Hong Kong) Limited 1 53 54 1 48 49 0 -5 -5 98.15 97.96 2005-01-25
9 SHENWAN HONGYUAN FUTURES (H.K.) LIMITED 2 72 74 1 43 44 -1 -29 -30 97.30 97.73 2004-12-08
10 NOMURA INTERNATIONAL (HONG KONG) LIMITED 1 35 36 1 36 37 0 1 1 97.22 97.30
11 HSBC BROKING FUTURES (HONG KONG) LIMITED 4 48 52 3 32 35 -1 -16 -17 92.31 91.43 2004-09-10
12 Funderstone Futures Limited 4 29 33 4 28 32 0 -1 -1 87.88 87.50
13 VC INTERNATIONAL TRADING LIMITED 1 43 44 1 29 30 0 -14 -14 97.73 96.67 2022-10-27
14 JPMorgan Asset Management (Asia Pacific) Limited 4 21 25 3 24 27 -1 3 2 84.00 88.89
15 AISANCE ASSET MANAGEMENT LIMITED 1 28 29 0 26 26 -1 -2 -3 96.55 100.00 2004-09-02
16 CHOW SANG SANG FUTURES LIMITED 2 28 30 2 24 26 0 -4 -4 93.33 92.31 2004-11-12
17 Duncan Futures Limited 3 26 29 2 21 23 -1 -5 -6 89.66 91.30 2005-03-08
18 EMPEROR FUTURES LIMITED 2 28 30 2 21 23 0 -7 -7 93.33 91.30
19 KAISER FUTURES LIMITED 4 26 30 2 21 23 -2 -5 -7 86.67 91.30 2005-02-18
20 NEW TREND FUTURES LIMITED 3 21 24 3 18 21 0 -3 -3 87.50 85.71 2004-10-25
21 SHUN LOONG FUTURES LIMITED 2 34 36 1 20 21 -1 -14 -15 94.44 95.24 2005-01-13
22 GET NICE FUTURES COMPANY LIMITED 1 24 25 2 18 20 1 -6 -5 96.00 90.00
23 RBC FUTURES SERVICES (ASIA) LIMITED 1 26 27 1 19 20 0 -7 -7 96.30 95.00 2005-10-28
24 PRUDENTIAL INDEX TRADING COMPANY LIMITED 1 24 25 1 18 19 0 -6 -6 96.00 94.74
25 J.P. MORGAN BROKING (HONG KONG) LIMITED 0 0 0 4 14 18 4 14 18 - 77.78 2003-12-02
26 ADMIS Hong Kong Limited 1 15 16 3 14 17 2 -1 1 93.75 82.35
27 FIRST SHANGHAI FUTURES LIMITED 2 16 18 2 15 17 0 -1 -1 88.89 88.24
28 STATE STREET GLOBAL ADVISORS ASIA LIMITED 1 14 15 2 15 17 1 1 2 93.33 88.24
29 Well Link International Securities Limited 3 28 31 3 14 17 0 -14 -14 90.32 82.35 2005-02-14
30 KINGSTON FUTURES LIMITED 2 18 20 2 14 16 0 -4 -4 90.00 87.50 2005-01-24
31 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 15 17 2 13 15 0 -2 -2 88.24 86.67 2018-12-31
32 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 1 22 23 2 13 15 1 -9 -8 95.65 86.67
33 BEAR STEARNS HONG KONG LIMITED 1 13 14 1 13 14 0 0 0 92.86 92.86 2009-05-14
34 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 4 9 13 4 10 14 0 1 1 69.23 71.43
35 KARL-THOMSON COMMODITIES COMPANY LIMITED 2 14 16 1 13 14 -1 -1 -2 87.50 92.86 2004-11-26
36 UBS SECURITIES ASIA LIMITED 1 17 18 1 13 14 0 -4 -4 94.44 92.86 2005-02-04
37 HANG SENG FUTURES LIMITED 4 3 7 4 8 12 0 5 5 42.86 66.67 2017-11-17
38 BARING ASSET MANAGEMENT (ASIA) LIMITED 1 12 13 3 8 11 2 -4 -2 92.31 72.73
39 CHIEF COMMODITIES LIMITED 2 10 12 2 9 11 0 -1 -1 83.33 81.82 2004-10-15
40 DELTA ASIA FINANCIAL FUTURES LIMITED 1 14 15 1 10 11 0 -4 -4 93.33 90.91
41 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 3 9 12 3 8 11 0 -1 -1 75.00 72.73 2016-04-19
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 CMB INTERNATIONAL FUTURES LIMITED 2 9 11 2 7 9 0 -2 -2 81.82 77.78 2004-11-26
46 Manulife Investment Management (Hong Kong) Limited 1 7 8 2 7 9 1 0 1 87.50 77.78
47 SPS COMMODITIES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2005-01-20
48 SUN'S FUTURE LIMITED 3 6 9 3 6 9 0 0 0 66.67 66.67 2005-02-18
49 CHARLES SCHWAB, HONG KONG, LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2016-08-31
50 QUAM FUTURES LIMITED 3 15 18 3 5 8 0 -10 -10 83.33 62.50 2005-02-28
51 UBS DERIVATIVES HONG KONG LIMITED 1 8 9 1 7 8 0 -1 -1 88.89 87.50 2005-02-07
52 YICKO FUTURES LIMITED 1 7 8 1 7 8 0 0 0 87.50 87.50 2004-06-01
53 CHONG HING COMMODITIES AND FUTURES LIMITED 4 4 8 4 3 7 0 -1 -1 50.00 42.86 2005-01-19
54 METRO CAPITAL FUTURES LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2014-11-26
55 PEACE TOWN FUTURES LIMITED 4 15 19 4 3 7 0 -12 -12 78.95 42.86 2012-09-27
56 RG ASSET MANAGEMENT COMPANY LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14 2013-11-25
57 ROCTEC FUTURES TRADING COMPANY LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2005-01-21
58 SIU YIP COMMODITY LIMITED 4 4 8 3 4 7 -1 0 -1 50.00 57.14 2004-11-26
59 SOUTHWEST SECURITIES (HK) FUTURES LIMITED 2 100 102 0 7 7 -2 -93 -95 98.04 100.00 2003-08-06
60 Tyric Capital Limited 0 0 0 2 5 7 2 5 7 - 71.43 2003-11-13
61 Vision Capital Investment Management Limited 0 0 0 2 5 7 2 5 7 - 71.43 2003-12-17 2004-07-30
62 ABN AMRO Clearing (Futures) Hong Kong Limited 2 6 8 1 5 6 -1 -1 -2 75.00 83.33 2005-03-03
63 BNP PARIBAS FUTURES (HONG KONG) LIMITED 1 5 6 1 5 6 0 0 0 83.33 83.33 2004-11-29
64 CELESTIAL COMMODITIES LIMITED 2 107 109 0 6 6 -2 -101 -103 98.17 100.00 2005-01-25
65 Credit Suisse Futures (Hong Kong) Limited 1 9 10 0 6 6 -1 -3 -4 90.00 100.00 2005-01-03
66 CSI Corporate Finance (HK) Limited 2 0 2 2 4 6 0 4 4 0.00 66.67 2004-07-30
67 GOLDMAN SACHS (ASIA) L.L.C. 2 3 5 3 3 6 1 0 1 60.00 50.00
68 Legg Mason Asset Management Hong Kong Limited 2 7 9 1 5 6 -1 -2 -3 77.78 83.33 2006-09-25
69 MUSHK Limited 1 5 6 2 4 6 1 -1 0 83.33 66.67 2011-06-01
70 OKACHI (HONG KONG) COMPANY LIMITED 2 16 18 1 5 6 -1 -11 -12 88.89 83.33 2005-02-07
71 RBS Asia Futures Limited 2 5 7 2 4 6 0 -1 -1 71.43 66.67 2005-01-25
72 SOUTH CHINA COMMODITIES LIMITED 3 74 77 3 3 6 0 -71 -71 96.10 50.00 2005-01-31
73 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 4 4 8 4 1 5 0 -3 -3 50.00 20.00 2012-06-25
74 AllianceBernstein Hong Kong Limited 2 2 4 3 2 5 1 0 1 50.00 40.00
75 Allianz Global Investors Hong Kong Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2007-06-28
76 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 33 35 3 2 5 1 -31 -30 94.29 40.00 2018-09-21
77 GAM HONG KONG LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2013-06-19
78 HAITONG INTERNATIONAL FUTURES LIMITED 2 154 156 5 0 5 3 -154 -151 98.72 0.00
79 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00
80 Legg Mason International Equities (Hong Kong) Limited 2 4 6 1 4 5 -1 0 -1 66.67 80.00 2006-09-25
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 4 5 1 4 5 0 0 0 80.00 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 2 225 227 1 3 4 -1 -222 -223 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 First Sentier Investors (Hong Kong) Limited 1 2 3 1 3 4 0 1 1 66.67 75.00 2006-08-29
93 FIRST STATE (HONG KONG) LLC 1 2 3 1 3 4 0 1 1 66.67 75.00 2006-08-29
94 INVESCO HONG KONG LIMITED 4 0 4 2 2 4 -2 2 0 0.00 50.00
95 PHOENIX CAPITAL FUTURES LIMITED 3 3 6 2 2 4 -1 -1 -2 50.00 50.00 2005-02-01
96 TAIFAIR FUTURES LIMITED 1 4 5 1 3 4 0 -1 -1 80.00 75.00 2005-02-23
97 TOPMORE COMMODITIES LIMITED 3 11 14 3 1 4 0 -10 -10 78.57 25.00 2004-11-22
98 Vantum Securities and Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-09-16
99 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2015-02-09
100 Yuanta Asia Investment (Hong Kong) Limited 0 0 0 2 2 4 2 2 4 - 50.00 2003-08-13 2013-11-01
101 AKTIS CAPITAL ADVISORY LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2003-11-29
102 ASIA DEBT MANAGEMENT HONG KONG LIMITED 1 1 2 1 2 3 0 1 1 50.00 66.67 2005-06-29
103 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2015-06-15
104 BARCLAYS CAPITAL FUTURES HONG KONG LIMITED 2 4 6 0 3 3 -2 -1 -3 66.67 100.00 2004-12-28
105 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 1 2 3 1 2 3 0 0 0 66.67 66.67 2007-07-12
106 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
107 HAMON ASSET MANAGEMENT LIMITED 1 0 1 1 2 3 0 2 2 0.00 66.67
108 HSBC Global Asset Management Holdings (Bahamas) Limited 1 0 1 3 0 3 2 0 2 0.00 0.00 2020-06-02
109 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 1 0 1 3 0 3 2 0 2 0.00 0.00
110 Mackenzie Investments Asia Limited 1 2 3 3 0 3 2 -2 0 66.67 0.00 2006-11-14
111 Nerico Brothers Limited (HK) 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2004-08-02
112 Nomura Asset Management Hong Kong Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2004-12-16
113 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
114 PFP Capital Limited 1 0 1 1 2 3 0 2 2 0.00 66.67
115 PI INVESTMENT MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2007-09-28
116 PineBridge Investments Hong Kong Limited 1 2 3 1 2 3 0 0 0 66.67 66.67 2005-03-15
117 SATTVA INVESTMENT ADVISORS LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2003-10-30 2015-04-22
118 SBI China Capital Commodities Limited 1 16 17 1 2 3 0 -14 -14 94.12 66.67 2013-07-16
119 STANDARD & POOR'S, LLC 2 0 2 2 1 3 0 1 1 0.00 33.33 2005-03-30
120 Standard Commodities (Asia) Limited 1 2 3 1 2 3 0 0 0 66.67 66.67 2008-05-16
121 TAI YIP COMMODITIES & FUTURES LIMITED 2 4 6 2 1 3 0 -3 -3 66.67 33.33 2004-11-19
122 UPBEST COMMODITIES COMPANY LIMITED 1 9 10 2 1 3 1 -8 -7 90.00 33.33
123 WFM Asia (HK) Limited 1 2 3 1 2 3 0 0 0 66.67 66.67 2013-11-05
124 YUE XIU FUTURES COMPANY LIMITED 3 4 7 2 1 3 -1 -3 -4 57.14 33.33 2024-07-30
125 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
126 BNP PARIBAS DEALING SERVICES ASIA LIMITED 1 2 3 1 1 2 0 -1 -1 66.67 50.00 2010-11-03
127 BNP PARIBAS PEREGRINE FUTURES LIMITED 2 40 42 0 2 2 -2 -38 -40 95.24 100.00 2004-05-17
128 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
129 CHAOS INTERNATIONAL FINANCIAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-06-10
130 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
131 CINDA INTERNATIONAL FUTURES LIMITED 4 67 71 0 2 2 -4 -65 -69 94.37 100.00 2003-07-29
132 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2011-03-23
133 CNCB (Hong Kong) Capital Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2015-08-20
134 DEUTSCHE SECURITIES ASIA LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2004-01-08 2020-02-04
135 FIL Investment Advisors 1 1 2 1 1 2 0 0 0 50.00 50.00
136 FIL Investment Management (Hong Kong) Limited 1 1 2 1 1 2 0 0 0 50.00 50.00
137 Finet Securities Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2004-09-23
138 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
139 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2024-03-21
140 GM FINANCIAL FORMULA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-09
141 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 1 2 3 1 1 2 0 -1 -1 66.67 50.00
142 ICBC Asset Management (Global) Company Limited 1 2 3 1 1 2 0 -1 -1 66.67 50.00
143 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
144 JPMorgan Asset Management (Japan) Limited 1 0 1 2 0 2 1 0 1 0.00 0.00 2011-07-15
145 KuCoin Commodity Futures Limited 2 5 7 1 1 2 -1 -4 -5 71.43 50.00 2004-11-01
146 LIM ADVISORS LIMITED 2 2 4 1 1 2 -1 -1 -2 50.00 50.00 2021-02-17
147 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
148 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 3 20 23 2 0 2 -1 -20 -21 86.96 0.00 2008-09-05
149 PGIM (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-02-04
150 PineBridge Investments Asia Limited 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-03-15
151 Planetree Futures Limited 2 5 7 2 0 2 0 -5 -5 71.43 0.00 2004-09-28
152 RICHMOND ASSET MANAGEMENT LIMITED (HK) 1 0 1 1 1 2 0 1 1 0.00 50.00 2005-01-13
153 SAGE ASSET MANAGEMENT (HK) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2006-10-13
154 SINOPAC FUTURES (ASIA) LIMITED 1 11 12 2 0 2 1 -11 -10 91.67 0.00 2014-09-25
155 SOFAER GLOBAL RESEARCH (HK) LIMITED 0 3 3 0 2 2 0 -1 -1 100.00 100.00 2011-01-18
156 STOCKWELL COMMODITIES LIMITED 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-02-22
157 STRATEGIC OPTIONS INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-12-05
158 Success Futures and Foreign Exchange Limited 2 2 4 1 1 2 -1 -1 -2 50.00 50.00 2004-08-31
159 Sumitomo Mitsui DS Asset Management (Hong Kong) Limited 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2005-01-25
160 Sunwah Kingsway Leasing and Finance Limited 3 9 12 1 1 2 -2 -8 -10 75.00 50.00 2004-06-24
161 VALUE PARTNERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
162 WELLAM INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-12-24
163 WONDER FACE FUND MANAGEMENT COMPANY LIMITED 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-02-17
164 ABN AMRO Clearing Hong Kong Limited 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2005-03-03
165 AXA Investment Managers Asia Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2015-06-15
166 AXIOM INVESTMENT MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2014-05-07
167 BROOKE CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-01
168 CES International Commodities (HK) Limited 2 2 4 1 0 1 -1 -2 -3 50.00 0.00 2005-03-07
169 China Enterprise Securities Company Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2004-11-10
170 CHINA INTERNATIONAL CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-28
171 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
172 GRAND ALLIANCE ASSET MANAGEMENT LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2004-09-02
173 Greentech Technology Asset Management Company Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-20
174 HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2004-07-07
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 GROUP LIMITED (THE) 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-24
185 PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2004-10-18
186 Quam Asset Management Limited (b1983-06-28) 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-28
187 REGENT FINANCIAL SERVICES LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2005-02-08
188 REXCAPITAL FUTURES LIMITED 1 33 34 1 0 1 0 -33 -33 97.06 0.00 2004-11-30
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 TAK FUNG COMMODITIES LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-03-31
192 VC International Asset Management Limited 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2005-01-19
193 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
194 WELLCHAMP CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-31
195 WINNINGTON CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
196 WTV GLOBAL INVESTMENTS MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-01
197 ASG FUTURES LIMITED 1 12 13 0 0 0 -1 -12 -13 92.31 - 2004-06-25
198 BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2007-01-31
199 BERICH FUTURES (H.K.) COMPANY LIMITED 0 4 4 0 0 0 0 -4 -4 100.00 - 2004-07-06
200 BOCI COMMODITIES & FUTURES LIMITED 1 34 35 0 0 0 -1 -34 -35 97.14 - 2004-01-13
201 BUSINESS FUTURES LIMITED 2 10 12 0 0 0 -2 -10 -12 83.33 - 2004-06-11
202 CDIB VENTURE INVESTMENT (H.K.) CORPORATION LIMITED 1 2 3 0 0 0 -1 -2 -3 66.67 - 2003-10-03
203 CHALLENGE COMMODITIES LIMITED 3 3 6 0 0 0 -3 -3 -6 50.00 - 2003-09-25
204 CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED 4 81 85 0 0 0 -4 -81 -85 95.29 - 2003-10-13
205 CORPORATE COMMODITIES LIMITED 3 27 30 0 0 0 -3 -27 -30 90.00 - 2004-02-18
206 CSC FUTURES (HK) LIMITED 1 20 21 0 0 0 -1 -20 -21 95.24 - 2004-03-29
207 DBS VICKERS FUTURES (HONG KONG) LIMITED 0 86 86 0 0 0 0 -86 -86 100.00 - 2004-06-30
208 EAST ASIA FUTURES LIMITED 1 6 7 0 0 0 -1 -6 -7 85.71 - 2004-02-02
209 EK INVESTMENT MANAGEMENT LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2003-12-03
210 ENLIGHTEN FUTURES LIMITED 2 6 8 0 0 0 -2 -6 -8 75.00 - 2004-11-30
211 EQ INVESTOR SERVICES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-12-31
212 FAIR EAGLE FUTURES COMPANY LIMITED 1 4 5 0 0 0 -1 -4 -5 80.00 - 2005-01-06
213 FUJI HONG KONG COMMODITIES COMPANY LIMITED 2 19 21 0 0 0 -2 -19 -21 90.48 - 2003-09-24
214 GAIN ASSET MANAGEMENT LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2003-12-17
215 Ge Shang Investment (Hong Kong) Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-11-05
216 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 17 19 0 0 0 -2 -17 -19 89.47 - 2004-02-25
217 HENDALE GROUP LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-09-24
218 HONOUR FUTURES LIMITED 2 8 10 0 0 0 -2 -8 -10 80.00 - 2004-09-03
219 HSBC Corporate Finance (Hong Kong) Limited 1 1 2 0 0 0 -1 -1 -2 50.00 - 2005-01-25
220 HSBC FUTURES (SINGAPORE) PTE LTD 2 10 12 0 0 0 -2 -10 -12 83.33 - 2003-08-29
221 HSBC STRUCTURED FUNDS (ASIA) LIMITED 2 5 7 0 0 0 -2 -5 -7 71.43 - 2004-02-10
222 HT CAPITAL MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-06-03
223 HUNG SING FUTURES LIMITED 1 2 3 0 0 0 -1 -2 -3 66.67 - 2004-11-23
224 INTERCHINA FUTURES LIMITED 2 18 20 0 0 0 -2 -18 -20 90.00 - 2004-01-14
225 J.P. MORGAN FUTURES HONG KONG LIMITED 2 19 21 0 0 0 -2 -19 -21 90.48 - 2003-12-08
226 KINGSWAY UNIT TRUST MANAGERS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-02-13
227 KWK ASIA MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-09-11
228 LEHMAN BROTHERS ASIA LIMITED 0 3 3 0 0 0 0 -3 -3 100.00 - 2003-09-19
229 LEHMAN BROTHERS FUTURES ASIA LIMITED 0 1 1 0 0 0 0 -1 -1 100.00 - 2003-09-08
230 MEGABASE FUTURES CO. LIMITED 2 4 6 0 0 0 -2 -4 -6 66.67 - 2003-11-22
231 MIB FUTURES (HONG KONG) LIMITED 1 14 15 0 0 0 -1 -14 -15 93.33 - 2003-08-06
232 NATIXIS COMMODITY MARKETS (ASIA) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-06-18
233 Newedge Broker Hong Kong Limited 0 11 11 0 0 0 0 -11 -11 100.00 - 2005-05-24
234 Newedge Broker Limited 2 16 18 0 0 0 -2 -16 -18 88.89 - 2004-10-08
235 NORMAN KONG COMMODITIES COMPANY LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-07-15
236 OCBC Futures Investment (Hong Kong) Limited 1 4 5 0 0 0 -1 -4 -5 80.00 - 2003-10-20
237 PO SANG SECURITIES LIMITED 2 12 14 0 0 0 -2 -12 -14 85.71 - 2004-01-14
238 PRUDENCE FUTURES LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2004-04-16
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 T Y International 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-05-11
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) 2 30 32 0 0 0 -2 -30 -32 93.75 - 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 13.40 15.14 1.71 7.55 9.26 88.52 81.54

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