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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2003-05-31 2004-05-31 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 1 138 139 3 112 115 2 -26 -24 99.28 97.39
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 3 107 110 2 84 86 -1 -23 -24 97.27 97.67
4 CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED 2 92 94 2 70 72 0 -22 -22 97.87 97.22 2004-10-25
5 GOLDMAN SACHS FUTURES (ASIA) LIMITED 1 87 88 0 71 71 -1 -16 -17 98.86 100.00 2016-10-10
6 MERRILL LYNCH FUTURES (HONG KONG) LIMITED 2 75 77 1 68 69 -1 -7 -8 97.40 98.55 2005-01-25
7 Nomura Asia Investment (Hong Kong) Limited 1 52 53 1 46 47 0 -6 -6 98.11 97.87 2005-01-25
8 SHENWAN HONGYUAN FUTURES (H.K.) LIMITED 1 65 66 1 43 44 0 -22 -22 98.48 97.73 2004-12-08
9 HSBC BROKING FUTURES (HONG KONG) LIMITED 4 47 51 3 32 35 -1 -15 -16 92.16 91.43 2004-09-10
10 NOMURA INTERNATIONAL (HONG KONG) LIMITED 1 35 36 1 33 34 0 -2 -2 97.22 97.06
11 Funderstone Futures Limited 4 29 33 4 28 32 0 -1 -1 87.88 87.50
12 VC INTERNATIONAL TRADING LIMITED 1 41 42 1 29 30 0 -12 -12 97.62 96.67 2022-10-27
13 JPMorgan Asset Management (Asia Pacific) Limited 4 21 25 3 24 27 -1 3 2 84.00 88.89
14 AISANCE ASSET MANAGEMENT LIMITED 1 28 29 0 26 26 -1 -2 -3 96.55 100.00 2004-09-02
15 CHOW SANG SANG FUTURES LIMITED 2 28 30 2 24 26 0 -4 -4 93.33 92.31 2004-11-12
16 Duncan Futures Limited 3 23 26 2 21 23 -1 -2 -3 88.46 91.30 2005-03-08
17 KAISER FUTURES LIMITED 4 24 28 2 21 23 -2 -3 -5 85.71 91.30 2005-02-18
18 EMPEROR FUTURES LIMITED 2 28 30 2 20 22 0 -8 -8 93.33 90.91
19 NEW TREND FUTURES LIMITED 3 21 24 3 18 21 0 -3 -3 87.50 85.71 2004-10-25
20 GET NICE FUTURES COMPANY LIMITED 1 21 22 2 18 20 1 -3 -2 95.45 90.00
21 RBC FUTURES SERVICES (ASIA) LIMITED 1 25 26 1 19 20 0 -6 -6 96.15 95.00 2005-10-28
22 PRUDENTIAL INDEX TRADING COMPANY LIMITED 1 23 24 1 18 19 0 -5 -5 95.83 94.74
23 ADMIS Hong Kong Limited 1 15 16 3 14 17 2 -1 1 93.75 82.35
24 FIRST SHANGHAI FUTURES LIMITED 2 16 18 2 15 17 0 -1 -1 88.89 88.24
25 J.P. MORGAN BROKING (HONG KONG) LIMITED 0 0 0 4 13 17 4 13 17 - 76.47 2003-12-02
26 STATE STREET GLOBAL ADVISORS ASIA LIMITED 1 14 15 2 15 17 1 1 2 93.33 88.24
27 Well Link International Securities Limited 3 27 30 3 14 17 0 -13 -13 90.00 82.35 2005-02-14
28 KINGSTON FUTURES LIMITED 2 18 20 2 14 16 0 -4 -4 90.00 87.50 2005-01-24
29 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 15 17 2 13 15 0 -2 -2 88.24 86.67 2018-12-31
30 BEAR STEARNS HONG KONG LIMITED 1 13 14 1 12 13 0 -1 -1 92.86 92.31 2009-05-14
31 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 4 9 13 4 9 13 0 0 0 69.23 69.23
32 UBS SECURITIES ASIA LIMITED 1 17 18 1 12 13 0 -5 -5 94.44 92.31 2005-02-04
33 HANG SENG FUTURES LIMITED 4 3 7 4 8 12 0 5 5 42.86 66.67 2017-11-17
34 BARING ASSET MANAGEMENT (ASIA) LIMITED 1 12 13 3 8 11 2 -4 -2 92.31 72.73
35 CHIEF COMMODITIES LIMITED 2 10 12 1 9 10 -1 -1 -2 83.33 90.00 2004-10-15
36 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 3 9 12 3 7 10 0 -2 -2 75.00 70.00 2016-04-19
37 CMB INTERNATIONAL FUTURES LIMITED 2 9 11 2 7 9 0 -2 -2 81.82 77.78 2004-11-26
38 DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED 1 10 11 1 8 9 0 -2 -2 90.91 88.89 2005-01-25
39 HSBC Global Asset Management (Hong Kong) Limited 2 8 10 3 6 9 1 -2 -1 80.00 66.67
40 Manulife Investment Management (Hong Kong) Limited 1 7 8 2 7 9 1 0 1 87.50 77.78
41 SHUN LOONG FUTURES LIMITED 1 33 34 1 8 9 0 -25 -25 97.06 88.89 2005-01-13
42 CHARLES SCHWAB, HONG KONG, LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2016-08-31
43 QUAM FUTURES LIMITED 3 15 18 3 5 8 0 -10 -10 83.33 62.50 2005-02-28
44 UBS DERIVATIVES HONG KONG LIMITED 1 8 9 1 7 8 0 -1 -1 88.89 87.50 2005-02-07
45 CHONG HING COMMODITIES AND FUTURES LIMITED 4 4 8 4 3 7 0 -1 -1 50.00 42.86 2005-01-19
46 METRO CAPITAL FUTURES LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2014-11-26
47 MUSHK Limited 1 5 6 2 5 7 1 0 1 83.33 71.43 2011-06-01
48 PEACE TOWN FUTURES LIMITED 4 14 18 4 3 7 0 -11 -11 77.78 42.86 2012-09-27
49 RG ASSET MANAGEMENT COMPANY LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14 2013-11-25
50 ROCTEC FUTURES TRADING COMPANY LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2005-01-21
51 SIU YIP COMMODITY LIMITED 4 4 8 3 4 7 -1 0 -1 50.00 57.14 2004-11-26
52 SPS COMMODITIES LIMITED 2 7 9 1 6 7 -1 -1 -2 77.78 85.71 2005-01-20
53 SUN'S FUTURE LIMITED 3 6 9 3 4 7 0 -2 -2 66.67 57.14 2005-02-18
54 Tyric Capital Limited 0 0 0 2 5 7 2 5 7 - 71.43 2003-11-13
55 Vision Capital Investment Management Limited 0 0 0 2 5 7 2 5 7 - 71.43 2003-12-17 2004-07-30
56 YICKO FUTURES LIMITED 1 7 8 1 6 7 0 -1 -1 87.50 85.71 2004-06-01
57 ABN AMRO Clearing (Futures) Hong Kong Limited 2 6 8 1 5 6 -1 -1 -2 75.00 83.33 2005-03-03
58 BNP PARIBAS FUTURES (HONG KONG) LIMITED 1 6 7 1 5 6 0 -1 -1 85.71 83.33 2004-11-29
59 Credit Suisse Futures (Hong Kong) Limited 1 8 9 0 6 6 -1 -2 -3 88.89 100.00 2005-01-03
60 CSI Corporate Finance (HK) Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2004-07-30
61 GOLDMAN SACHS (ASIA) L.L.C. 2 3 5 3 3 6 1 0 1 60.00 50.00
62 KARL-THOMSON COMMODITIES COMPANY LIMITED 2 14 16 1 5 6 -1 -9 -10 87.50 83.33 2004-11-26
63 OKACHI (HONG KONG) COMPANY LIMITED 2 16 18 1 5 6 -1 -11 -12 88.89 83.33 2005-02-07
64 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 1 3 4 2 4 6 1 1 2 75.00 66.67 2012-01-12
65 SOUTH CHINA COMMODITIES LIMITED 3 73 76 3 3 6 0 -70 -70 96.05 50.00 2005-01-31
66 SOUTHWEST SECURITIES (HK) FUTURES LIMITED 2 89 91 0 6 6 -2 -83 -85 97.80 100.00 2003-08-06
67 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 4 4 8 4 1 5 0 -3 -3 50.00 20.00 2012-06-25
68 AllianceBernstein Hong Kong Limited 2 2 4 2 3 5 0 1 1 50.00 60.00
69 Allianz Global Investors Hong Kong Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2007-06-28
70 CELESTIAL COMMODITIES LIMITED 2 98 100 0 5 5 -2 -93 -95 98.00 100.00 2005-01-25
71 CLSA FUTURES LIMITED 4 23 27 2 3 5 -2 -20 -22 85.19 60.00 2016-06-02
72 GAM HONG KONG LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2013-06-19
73 HAITONG INTERNATIONAL FUTURES LIMITED 2 152 154 5 0 5 3 -152 -149 98.70 0.00
74 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00
75 Legg Mason Asset Management Hong Kong Limited 2 6 8 1 4 5 -1 -2 -3 75.00 80.00 2006-09-25
76 Legg Mason International Equities (Hong Kong) Limited 2 4 6 1 4 5 -1 0 -1 66.67 80.00 2006-09-25
77 MAGUSTA FUTURES LIMITED 2 7 9 2 3 5 0 -4 -4 77.78 60.00 2013-02-26
78 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
79 UNI-ALPHA FUTURES LIMITED 1 4 5 1 4 5 0 0 0 80.00 80.00 2004-08-30
80 ALPHA FUTURES COMPANY LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2005-01-24
81 AlTi Wealth Management (Hong Kong) Limited 0 0 0 2 2 4 2 2 4 - 50.00 2004-05-11
82 Arta Global Futures Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2004-11-19
83 BEA Union Investment Management Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2022-07-12
84 CES Commodities (HK) Limited 2 222 224 1 3 4 -1 -219 -220 99.11 75.00 2005-03-08
85 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 32 34 3 1 4 1 -31 -30 94.12 25.00 2018-09-21
86 CIBC Global Asset Management (Asia) Limited 1 3 4 1 3 4 0 0 0 75.00 75.00 2006-01-10
87 First Sentier Investors (Hong Kong) Limited 1 2 3 2 2 4 1 0 1 66.67 50.00 2006-08-29
88 FIRST STATE (HONG KONG) LLC 1 2 3 2 2 4 1 0 1 66.67 50.00 2006-08-29
89 INVESCO HONG KONG LIMITED 4 0 4 2 2 4 -2 2 0 0.00 50.00
90 JEFFERIES BACHE (HONG KONG) LIMITED 2 75 77 2 2 4 0 -73 -73 97.40 50.00 2004-12-10
91 Standard Commodities (Asia) Limited 1 2 3 1 3 4 0 1 1 66.67 75.00 2008-05-16
92 TAIFAIR FUTURES LIMITED 1 4 5 1 3 4 0 -1 -1 80.00 75.00 2005-02-23
93 TC Investment Management (Asia) Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2008-02-14
94 TOPMORE COMMODITIES LIMITED 3 12 15 3 1 4 0 -11 -11 80.00 25.00 2004-11-22
95 Vantum Securities and Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-09-16
96 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2015-02-09
97 Yuanta Asia Investment (Hong Kong) Limited 0 0 0 3 1 4 3 1 4 - 25.00 2003-08-13 2013-11-01
98 AKTIS CAPITAL ADVISORY LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2003-11-29
99 ASIA DEBT MANAGEMENT HONG KONG LIMITED 1 1 2 1 2 3 0 1 1 50.00 66.67 2005-06-29
100 BARCLAYS CAPITAL FUTURES HONG KONG LIMITED 2 4 6 0 3 3 -2 -1 -3 66.67 100.00 2004-12-28
101 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2004-12-03
102 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 1 22 23 2 1 3 1 -21 -20 95.65 33.33
103 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
104 HAMON ASSET MANAGEMENT LIMITED 1 0 1 1 2 3 0 2 2 0.00 66.67
105 HSBC Global Asset Management Holdings (Bahamas) Limited 1 0 1 3 0 3 2 0 2 0.00 0.00 2020-06-02
106 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 1 0 1 3 0 3 2 0 2 0.00 0.00
107 Mackenzie Investments Asia Limited 1 2 3 3 0 3 2 -2 0 66.67 0.00 2006-11-14
108 Nerico Brothers Limited (HK) 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2004-08-02
109 Nomura Asset Management Hong Kong Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2004-12-16
110 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
111 PFP Capital Limited 1 0 1 1 2 3 0 2 2 0.00 66.67
112 PI INVESTMENT MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2007-09-28
113 PineBridge Investments Hong Kong Limited 1 2 3 1 2 3 0 0 0 66.67 66.67 2005-03-15
114 RBS Asia Futures Limited 2 5 7 2 1 3 0 -4 -4 71.43 33.33 2005-01-25
115 SATTVA INVESTMENT ADVISORS LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2003-10-30 2015-04-22
116 SBI China Capital Commodities Limited 1 16 17 1 2 3 0 -14 -14 94.12 66.67 2013-07-16
117 UPBEST COMMODITIES COMPANY LIMITED 1 9 10 2 1 3 1 -8 -7 90.00 33.33
118 WFM Asia (HK) Limited 1 3 4 1 2 3 0 -1 -1 75.00 66.67 2013-11-05
119 YUE XIU FUTURES COMPANY LIMITED 3 4 7 2 1 3 -1 -3 -4 57.14 33.33 2024-07-30
120 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
121 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2015-06-15
122 AXIOM INVESTMENT MANAGEMENT LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2014-05-07
123 BNP PARIBAS DEALING SERVICES ASIA LIMITED 1 2 3 1 1 2 0 -1 -1 66.67 50.00 2010-11-03
124 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
125 CHAOS INTERNATIONAL FINANCIAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-06-10
126 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
127 CINDA INTERNATIONAL FUTURES LIMITED 4 65 69 0 2 2 -4 -63 -67 94.20 100.00 2003-07-29
128 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2011-03-23
129 CNCB (Hong Kong) Capital Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2015-08-20
130 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 1 2 3 1 1 2 0 -1 -1 66.67 50.00 2007-07-12
131 DEUTSCHE SECURITIES ASIA LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2004-01-08 2020-02-04
132 FIL Investment Advisors 1 1 2 1 1 2 0 0 0 50.00 50.00
133 FIL Investment Management (Hong Kong) Limited 1 1 2 1 1 2 0 0 0 50.00 50.00
134 Finet Securities Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2004-09-23
135 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
136 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2024-03-21
137 GM FINANCIAL FORMULA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-09
138 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 1 2 3 1 1 2 0 -1 -1 66.67 50.00
139 ICBC Asset Management (Global) Company Limited 1 2 3 1 1 2 0 -1 -1 66.67 50.00
140 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
141 JPMorgan Asset Management (Japan) Limited 1 0 1 2 0 2 1 0 1 0.00 0.00 2011-07-15
142 LIM ADVISORS LIMITED 2 2 4 1 1 2 -1 -1 -2 50.00 50.00 2021-02-17
143 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
144 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 3 16 19 2 0 2 -1 -16 -17 84.21 0.00 2008-09-05
145 PGIM (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-02-04
146 PHOENIX CAPITAL FUTURES LIMITED 3 2 5 2 0 2 -1 -2 -3 40.00 0.00 2005-02-01
147 PineBridge Investments Asia Limited 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-03-15
148 Planetree Futures Limited 2 5 7 2 0 2 0 -5 -5 71.43 0.00 2004-09-28
149 RICHMOND ASSET MANAGEMENT LIMITED (HK) 1 0 1 1 1 2 0 1 1 0.00 50.00 2005-01-13
150 SINOPAC FUTURES (ASIA) LIMITED 1 11 12 2 0 2 1 -11 -10 91.67 0.00 2014-09-25
151 SKY WARD GLOBAL MANAGEMENT LIMITED 2 0 2 1 1 2 -1 1 0 0.00 50.00 2012-07-10
152 SOFAER GLOBAL RESEARCH (HK) LIMITED 0 3 3 0 2 2 0 -1 -1 100.00 100.00 2011-01-18
153 STANDARD & POOR'S, LLC 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-30
154 STRATEGIC OPTIONS INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-12-05
155 Success Futures and Foreign Exchange Limited 2 2 4 1 1 2 -1 -1 -2 50.00 50.00 2004-08-31
156 Sumitomo Mitsui DS Asset Management (Hong Kong) Limited 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2005-01-25
157 TAI YIP COMMODITIES & FUTURES LIMITED 2 4 6 2 0 2 0 -4 -4 66.67 0.00 2004-11-19
158 VALUE PARTNERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
159 WELLAM INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-12-24
160 WONDER FACE FUND MANAGEMENT COMPANY LIMITED 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-02-17
161 ABN AMRO Clearing Hong Kong Limited 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2005-03-03
162 BROOKE CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-01
163 CES International Commodities (HK) Limited 2 2 4 1 0 1 -1 -2 -3 50.00 0.00 2005-03-07
164 China Enterprise Securities Company Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2004-11-10
165 CHINA INTERNATIONAL CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-28
166 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
167 DELTA ASIA FINANCIAL FUTURES LIMITED 1 14 15 1 0 1 0 -14 -14 93.33 0.00
168 GRAND ALLIANCE ASSET MANAGEMENT LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2004-09-02
169 Greentech Technology Asset Management Company Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-20
170 HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2004-07-07
171 HKFN WEALTH STRATEGY LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-11
172 HONG KONG INTERNATIONAL FUTURES LIMITED 5 14 19 1 0 1 -4 -14 -18 73.68 0.00 2004-07-20
173 ICHIYOSHI INTERNATIONAL (H.K.) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2004-12-01
174 IMPAC ASSET MANAGEMENT (HK) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2017-01-03
175 Interactive Brokers LLC 0 2 2 0 1 1 0 -1 -1 100.00 100.00 2004-12-22
176 JAGUAR INVESTMENT SERVICES, LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2015-06-22
177 KING FOOK COMMODITIES COMPANY LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2005-03-07
178 KuCoin Commodity Futures Limited 2 4 6 1 0 1 -1 -4 -5 66.67 0.00 2004-11-01
179 MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2005-02-02
180 OVERLOOK INVESTMENTS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2010-01-05
181 PACIFIC GROUP LIMITED (THE) 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-24
182 PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2004-10-18
183 Quam Asset Management Limited (b1983-06-28) 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-28
184 REGENT FINANCIAL SERVICES LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2005-02-08
185 REXCAPITAL FUTURES LIMITED 1 32 33 1 0 1 0 -32 -32 96.97 0.00 2004-11-30
186 SAGE ASSET MANAGEMENT (HK) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2006-10-13
187 SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2004-09-13
188 STOCKWELL COMMODITIES LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2005-02-22
189 TAK FUNG COMMODITIES LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-03-31
190 VC International Asset Management Limited 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2005-01-19
191 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
192 WELLCHAMP CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-31
193 WINNINGTON CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
194 WTV GLOBAL INVESTMENTS MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-01
195 ASG FUTURES LIMITED 1 12 13 0 0 0 -1 -12 -13 92.31 - 2004-06-25
196 AXA Investment Managers Asia Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2015-06-15
197 BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2007-01-31
198 BERICH FUTURES (H.K.) COMPANY LIMITED 0 3 3 0 0 0 0 -3 -3 100.00 - 2004-07-06
199 BNP PARIBAS PEREGRINE FUTURES LIMITED 2 39 41 0 0 0 -2 -39 -41 95.12 - 2004-05-17
200 BOCI COMMODITIES & FUTURES LIMITED 1 33 34 0 0 0 -1 -33 -34 97.06 - 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 79 83 0 0 0 -4 -79 -83 95.18 - 2003-10-13
205 CORPORATE COMMODITIES LIMITED 3 26 29 0 0 0 -3 -26 -29 89.66 - 2004-02-18
206 CSC FUTURES (HK) LIMITED 1 19 20 0 0 0 -1 -19 -20 95.00 - 2004-03-29
207 DBS VICKERS FUTURES (HONG KONG) LIMITED 0 87 87 0 0 0 0 -87 -87 100.00 - 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 5 7 0 0 0 -2 -5 -7 71.43 - 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 HUNG SING FUTURES LIMITED 1 2 3 0 0 0 -1 -2 -3 66.67 - 2004-11-23
223 INTERCHINA FUTURES LIMITED 2 18 20 0 0 0 -2 -18 -20 90.00 - 2004-01-14
224 J.P. MORGAN FUTURES HONG KONG LIMITED 2 18 20 0 0 0 -2 -18 -20 90.00 - 2003-12-08
225 KINGSWAY UNIT TRUST MANAGERS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-02-13
226 KWK ASIA MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-09-11
227 LEHMAN BROTHERS ASIA LIMITED 0 2 2 0 0 0 0 -2 -2 100.00 - 2003-09-19
228 MEGABASE FUTURES CO. LIMITED 2 4 6 0 0 0 -2 -4 -6 66.67 - 2003-11-22
229 MIB FUTURES (HONG KONG) LIMITED 1 14 15 0 0 0 -1 -14 -15 93.33 - 2003-08-06
230 NATIXIS COMMODITY MARKETS (ASIA) LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2003-06-18
231 Newedge Broker Hong Kong Limited 0 10 10 0 0 0 0 -10 -10 100.00 - 2005-05-24
232 Newedge Broker Limited 1 14 15 0 0 0 -1 -14 -15 93.33 - 2004-10-08
233 OCBC Futures Investment (Hong Kong) Limited 1 4 5 0 0 0 -1 -4 -5 80.00 - 2003-10-20
234 PO SANG SECURITIES LIMITED 2 12 14 0 0 0 -2 -12 -14 85.71 - 2004-01-14
235 PRUDENCE FUTURES LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2004-04-16
236 Public Futures Limited 0 3 3 0 0 0 0 -3 -3 100.00 - 2003-10-31
237 SIMPLEX ASSET MANAGEMENT (HK) COMPANY LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-12-01
238 Sunwah Kingsway Leasing and Finance Limited 3 9 12 0 0 0 -3 -9 -12 75.00 - 2004-06-24
239 T Y International 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-05-11
240 TIMBER HILL HONG KONG LIMITED 0 1 1 0 0 0 0 -1 -1 100.00 - 2004-12-21
241 TOKAI TOKYO SECURITIES (ASIA) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-11-12
242 Tokio Marine Investment Services, Limited 0 1 1 0 0 0 0 -1 -1 100.00 - 2005-01-11
243 UFJ INVESTMENTS ASIA LIMITED 1 10 11 0 0 0 -1 -10 -11 90.91 - 2003-09-30
244 WIGRAM CAPITAL LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-08-06
245 WOCOM LIMITED (HK) 2 30 32 0 0 0 -2 -30 -32 93.75 - 2004-11-09
246 YF FUTURES COMPANY LIMITED 3 4 7 0 0 0 -3 -4 -7 57.14 - 2003-06-03
247 Youyu Credit Limited 1 7 8 0 0 0 -1 -7 -8 87.50 - 2003-08-01
248 YU ON COMMODITIES COMPANY LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2003-10-10
249 Zhonghao International Futures Co., Limited 3 6 9 0 0 0 -3 -6 -9 66.67 - 2003-10-30
Average 1.73 13.22 14.95 1.72 6.93 8.65 88.40 80.11

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