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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2003-07-31 2004-07-31 Change Rep v total
Row Name RO Rep Total RO Rep Total RO Rep Total Start
%		 End
%		 Licence
start		 Licence
end
1 HSBC BROKING FUTURES (ASIA) LIMITED 3 99 102 3 83 86 0 -16 -16 97.06 96.51 2004-09-10
2 PHILLIP COMMODITIES (H.K.) LIMITED 2 101 103 2 78 80 0 -23 -23 98.06 97.50
3 GOLDMAN SACHS FUTURES (ASIA) LIMITED 1 83 84 1 68 69 0 -15 -15 98.81 98.55 2016-10-10
4 MERRILL LYNCH FUTURES (HONG KONG) LIMITED 2 72 74 1 66 67 -1 -6 -7 97.30 98.51 2005-01-25
5 Nomura Asia Investment (Hong Kong) Limited 1 50 51 1 41 42 0 -9 -9 98.04 97.62 2005-01-25
6 HSBC BROKING FUTURES (HONG KONG) LIMITED 4 46 50 3 32 35 -1 -14 -15 92.00 91.43 2004-09-10
7 Funderstone Futures Limited 4 28 32 3 28 31 -1 0 -1 87.50 90.32
8 NOMURA INTERNATIONAL (HONG KONG) LIMITED 1 37 38 1 29 30 0 -8 -8 97.37 96.67
9 JPMorgan Asset Management (Asia Pacific) Limited 4 20 24 3 24 27 -1 4 3 83.33 88.89
10 CHOW SANG SANG FUTURES LIMITED 2 28 30 2 24 26 0 -4 -4 93.33 92.31 2004-11-12
11 Duncan Futures Limited 3 22 25 2 21 23 -1 -1 -2 88.00 91.30 2005-03-08
12 KAISER FUTURES LIMITED 4 24 28 2 21 23 -2 -3 -5 85.71 91.30 2005-02-18
13 J.P. MORGAN BROKING (HONG KONG) LIMITED 0 0 0 4 18 22 4 18 22 - 81.82 2003-12-02
14 NEW TREND FUTURES LIMITED 3 21 24 3 18 21 0 -3 -3 87.50 85.71 2004-10-25
15 GET NICE FUTURES COMPANY LIMITED 1 21 22 2 18 20 1 -3 -2 95.45 90.00
16 RBC FUTURES SERVICES (ASIA) LIMITED 1 24 25 1 19 20 0 -5 -5 96.00 95.00 2005-10-28
17 ADMIS Hong Kong Limited 1 14 15 3 14 17 2 0 2 93.33 82.35
18 FIRST SHANGHAI FUTURES LIMITED 2 15 17 2 15 17 0 0 0 88.24 88.24
19 STATE STREET GLOBAL ADVISORS ASIA LIMITED 1 15 16 2 15 17 1 0 1 93.75 88.24
20 Well Link International Securities Limited 3 24 27 3 13 16 0 -11 -11 88.89 81.25 2005-02-14
21 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 14 16 2 13 15 0 -1 -1 87.50 86.67 2018-12-31
22 KINGSTON FUTURES LIMITED 2 16 18 2 13 15 0 -3 -3 88.89 86.67 2005-01-24
23 HANG SENG FUTURES LIMITED 4 3 7 4 10 14 0 7 7 42.86 71.43 2017-11-17
24 BEAR STEARNS HONG KONG LIMITED 1 13 14 1 12 13 0 -1 -1 92.86 92.31 2009-05-14
25 UBS SECURITIES ASIA LIMITED 1 15 16 1 12 13 0 -3 -3 93.75 92.31 2005-02-04
26 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 4 9 13 4 8 12 0 -1 -1 69.23 66.67
27 HSBC Global Asset Management (Hong Kong) Limited 2 8 10 3 7 10 1 -1 0 80.00 70.00
28 BARING ASSET MANAGEMENT (ASIA) LIMITED 1 8 9 2 7 9 1 -1 0 88.89 77.78
29 CHARLES SCHWAB, HONG KONG, LIMITED 3 4 7 3 6 9 0 2 2 57.14 66.67 2016-08-31
30 CMB INTERNATIONAL FUTURES LIMITED 2 8 10 2 7 9 0 -1 -1 80.00 77.78 2004-11-26
31 DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED 1 10 11 1 8 9 0 -2 -2 90.91 88.89 2005-01-25
32 Manulife Investment Management (Hong Kong) Limited 2 7 9 2 7 9 0 0 0 77.78 77.78
33 CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED 2 86 88 2 6 8 0 -80 -80 97.73 75.00 2004-10-25
34 UBS DERIVATIVES HONG KONG LIMITED 1 8 9 1 7 8 0 -1 -1 88.89 87.50 2005-02-07
35 CHONG HING COMMODITIES AND FUTURES LIMITED 4 4 8 4 3 7 0 -1 -1 50.00 42.86 2005-01-19
36 GOLDMAN SACHS (ASIA) L.L.C. 3 3 6 4 3 7 1 0 1 50.00 42.86
37 METRO CAPITAL FUTURES LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2014-11-26
38 MUSHK Limited 1 6 7 2 5 7 1 -1 0 85.71 71.43 2011-06-01
39 PEACE TOWN FUTURES LIMITED 4 13 17 4 3 7 0 -10 -10 76.47 42.86 2012-09-27
40 QUAM FUTURES LIMITED 3 14 17 2 5 7 -1 -9 -10 82.35 71.43 2005-02-28
41 RG ASSET MANAGEMENT COMPANY LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14 2013-11-25
42 ROCTEC FUTURES TRADING COMPANY LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2005-01-21
43 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 1 3 4 2 5 7 1 2 3 75.00 71.43 2012-01-12
44 SIU YIP COMMODITY LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14 2004-11-26
45 Tyric Capital Limited 0 0 0 2 5 7 2 5 7 - 71.43 2003-11-13
46 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 3 8 11 2 5 7 -1 -3 -4 72.73 71.43 2016-04-19
47 ABN AMRO Clearing (Futures) Hong Kong Limited 1 6 7 1 5 6 0 -1 -1 85.71 83.33 2005-03-03
48 CHIEF COMMODITIES LIMITED 2 10 12 1 5 6 -1 -5 -6 83.33 83.33 2004-10-15
49 Credit Suisse Futures (Hong Kong) Limited 1 7 8 0 6 6 -1 -1 -2 87.50 100.00 2005-01-03
50 KGI FUTURES (HONG KONG) LIMITED 1 125 126 3 3 6 2 -122 -120 99.21 50.00
51 Legg Mason Asset Management Hong Kong Limited 2 6 8 1 5 6 -1 -1 -2 75.00 83.33 2006-09-25
52 Legg Mason International Equities (Hong Kong) Limited 2 4 6 1 5 6 -1 1 0 66.67 83.33 2006-09-25
53 OKACHI (HONG KONG) COMPANY LIMITED 2 15 17 1 5 6 -1 -10 -11 88.24 83.33 2005-02-07
54 SHUN LOONG FUTURES LIMITED 1 30 31 0 6 6 -1 -24 -25 96.77 100.00 2005-01-13
55 SOUTH CHINA COMMODITIES LIMITED 3 70 73 3 3 6 0 -67 -67 95.89 50.00 2005-01-31
56 SPS COMMODITIES LIMITED 2 7 9 1 5 6 -1 -2 -3 77.78 83.33 2005-01-20
57 SUN'S FUTURE LIMITED 3 6 9 3 3 6 0 -3 -3 66.67 50.00 2005-02-18
58 AllianceBernstein Hong Kong Limited 1 2 3 3 2 5 2 0 2 66.67 40.00
59 Allianz Global Investors Hong Kong Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2007-06-28
60 BNP PARIBAS FUTURES (HONG KONG) LIMITED 1 6 7 1 4 5 0 -2 -2 85.71 80.00 2004-11-29
61 CLSA FUTURES LIMITED 3 21 24 2 3 5 -1 -18 -19 87.50 60.00 2016-06-02
62 GAM HONG KONG LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2013-06-19
63 HAITONG INTERNATIONAL FUTURES LIMITED 2 150 152 5 0 5 3 -150 -147 98.68 0.00
64 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00
65 MAGUSTA FUTURES LIMITED 2 6 8 2 3 5 0 -3 -3 75.00 60.00 2013-02-26
66 PI INVESTMENT MANAGEMENT LIMITED 3 0 3 3 2 5 0 2 2 0.00 40.00 2007-09-28
67 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
68 SOUTHWEST SECURITIES (HK) FUTURES LIMITED 2 81 83 0 5 5 -2 -76 -78 97.59 100.00 2003-08-06
69 Standard Commodities (Asia) Limited 1 2 3 1 4 5 0 2 2 66.67 80.00 2008-05-16
70 UNI-ALPHA FUTURES LIMITED 1 4 5 1 4 5 0 0 0 80.00 80.00 2004-08-30
71 WFM Asia (HK) Limited 1 3 4 1 4 5 0 1 1 75.00 80.00 2013-11-05
72 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 4 4 8 3 1 4 -1 -3 -4 50.00 25.00 2012-06-25
73 ALPHA FUTURES COMPANY LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2005-01-24
74 AlTi Wealth Management (Hong Kong) Limited 0 0 0 2 2 4 2 2 4 - 50.00 2004-05-11
75 BEA Union Investment Management Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2022-07-12
76 CES Commodities (HK) Limited 2 211 213 1 3 4 -1 -208 -209 99.06 75.00 2005-03-08
77 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2018-09-21
78 CIBC Global Asset Management (Asia) Limited 1 3 4 1 3 4 0 0 0 75.00 75.00 2006-01-10
79 First Sentier Investors (Hong Kong) Limited 1 2 3 2 2 4 1 0 1 66.67 50.00 2006-08-29
80 FIRST STATE (HONG KONG) LLC 1 2 3 2 2 4 1 0 1 66.67 50.00 2006-08-29
81 HSBC Global Asset Management Holdings (Bahamas) Limited 2 0 2 3 1 4 1 1 2 0.00 25.00 2020-06-02
82 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 1 0 1 3 1 4 2 1 3 0.00 25.00
83 INVESCO HONG KONG LIMITED 4 0 4 2 2 4 -2 2 0 0.00 50.00
84 JEFFERIES BACHE (HONG KONG) LIMITED 2 67 69 2 2 4 0 -65 -65 97.10 50.00 2004-12-10
85 Nomura Asset Management Hong Kong Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-12-16
86 SHENWAN HONGYUAN FUTURES (H.K.) LIMITED 1 61 62 1 3 4 0 -58 -58 98.39 75.00 2004-12-08
87 TAIFAIR FUTURES LIMITED 1 4 5 1 3 4 0 -1 -1 80.00 75.00 2005-02-23
88 TC Investment Management (Asia) Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2008-02-14
89 TOPMORE COMMODITIES LIMITED 3 12 15 3 1 4 0 -11 -11 80.00 25.00 2004-11-22
90 Vantum Securities and Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-09-16
91 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2015-02-09
92 AKTIS CAPITAL ADVISORY LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2003-11-29
93 Arta Global Futures Limited 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2004-11-19
94 ASIA DEBT MANAGEMENT HONG KONG LIMITED 1 1 2 1 2 3 0 1 1 50.00 66.67 2005-06-29
95 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2015-06-15
96 BARCLAYS CAPITAL FUTURES HONG KONG LIMITED 2 3 5 0 3 3 -2 0 -2 60.00 100.00 2004-12-28
97 BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2007-01-31
98 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2004-12-03
99 CELESTIAL COMMODITIES LIMITED 2 96 98 0 3 3 -2 -93 -95 97.96 100.00 2005-01-25
100 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 19 21 2 1 3 0 -18 -18 90.48 33.33
101 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
102 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 1 2 3 2 1 3 1 -1 0 66.67 33.33
103 HAMON ASSET MANAGEMENT LIMITED 1 0 1 1 2 3 0 2 2 0.00 66.67
104 KARL-THOMSON COMMODITIES COMPANY LIMITED 2 13 15 1 2 3 -1 -11 -12 86.67 66.67 2004-11-26
105 Mackenzie Investments Asia Limited 1 2 3 3 0 3 2 -2 0 66.67 0.00 2006-11-14
106 Nerico Brothers Limited (HK) 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2004-08-02
107 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
108 PFP Capital Limited 1 0 1 1 2 3 0 2 2 0.00 66.67
109 PineBridge Investments Hong Kong Limited 1 2 3 1 2 3 0 0 0 66.67 66.67 2005-03-15
110 SATTVA INVESTMENT ADVISORS LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2003-10-30 2015-04-22
111 UPBEST COMMODITIES COMPANY LIMITED 1 7 8 2 1 3 1 -6 -5 87.50 33.33
112 YUE XIU FUTURES COMPANY LIMITED 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2024-07-30
113 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
114 AXA Investment Managers Asia Limited 1 0 1 2 0 2 1 0 1 0.00 0.00 2015-06-15
115 AXIOM INVESTMENT MANAGEMENT LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2014-05-07
116 BNP PARIBAS DEALING SERVICES ASIA LIMITED 1 2 3 1 1 2 0 -1 -1 66.67 50.00 2010-11-03
117 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
118 CHAOS INTERNATIONAL FINANCIAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-06-10
119 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
120 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2011-03-23
121 CNCB (Hong Kong) Capital Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2015-08-20
122 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 1 2 3 1 1 2 0 -1 -1 66.67 50.00 2007-07-12
123 DEUTSCHE SECURITIES ASIA LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2004-01-08 2020-02-04
124 EMPEROR FUTURES LIMITED 2 25 27 2 0 2 0 -25 -25 92.59 0.00
125 FIL Investment Advisors 1 1 2 1 1 2 0 0 0 50.00 50.00
126 FIL Investment Management (Hong Kong) Limited 1 1 2 1 1 2 0 0 0 50.00 50.00
127 Finet Securities Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2004-09-23
128 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
129 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2024-03-21
130 GM FINANCIAL FORMULA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-09
131 ICBC Asset Management (Global) Company Limited 1 2 3 1 1 2 0 -1 -1 66.67 50.00
132 iVenture Investment Management Limited 1 0 1 2 0 2 1 0 1 0.00 0.00
133 JPMorgan Asset Management (Japan) Limited 1 0 1 2 0 2 1 0 1 0.00 0.00 2011-07-15
134 LIM ADVISORS LIMITED 2 2 4 1 1 2 -1 -1 -2 50.00 50.00 2021-02-17
135 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
136 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 3 11 14 2 0 2 -1 -11 -12 78.57 0.00 2008-09-05
137 PGIM (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-02-04
138 PHOENIX CAPITAL FUTURES LIMITED 3 2 5 2 0 2 -1 -2 -3 40.00 0.00 2005-02-01
139 PineBridge Investments Asia Limited 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-03-15
140 Planetree Futures Limited 2 5 7 2 0 2 0 -5 -5 71.43 0.00 2004-09-28
141 PRUDENTIAL INDEX TRADING COMPANY LIMITED 1 23 24 1 1 2 0 -22 -22 95.83 50.00
142 RBS Asia Futures Limited 2 5 7 2 0 2 0 -5 -5 71.43 0.00 2005-01-25
143 RICHMOND ASSET MANAGEMENT LIMITED (HK) 1 0 1 1 1 2 0 1 1 0.00 50.00 2005-01-13
144 SAGE ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-10-13
145 SBI China Capital Commodities Limited 1 2 3 1 1 2 0 -1 -1 66.67 50.00 2013-07-16
146 SINOPAC FUTURES (ASIA) LIMITED 1 11 12 2 0 2 1 -11 -10 91.67 0.00 2014-09-25
147 SKY WARD GLOBAL MANAGEMENT LIMITED 2 0 2 1 1 2 -1 1 0 0.00 50.00 2012-07-10
148 SOFAER GLOBAL RESEARCH (HK) LIMITED 0 3 3 0 2 2 0 -1 -1 100.00 100.00 2011-01-18
149 STANDARD & POOR'S, LLC 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-30
150 STRATEGIC OPTIONS INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-12-05
151 Sumitomo Mitsui DS Asset Management (Hong Kong) Limited 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2005-01-25
152 TAI YIP COMMODITIES & FUTURES LIMITED 2 3 5 2 0 2 0 -3 -3 60.00 0.00 2004-11-19
153 VALUE PARTNERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
154 WELLAM INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-12-24
155 WONDER FACE FUND MANAGEMENT COMPANY LIMITED 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-02-17
156 Yuanta Asia Investment (Hong Kong) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2003-08-13 2013-11-01
157 ABN AMRO Clearing Hong Kong Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-03-03
158 AISANCE ASSET MANAGEMENT LIMITED 1 27 28 0 1 1 -1 -26 -27 96.43 100.00 2004-09-02
159 BROOKE CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-01
160 CES International Commodities (HK) Limited 2 2 4 1 0 1 -1 -2 -3 50.00 0.00 2005-03-07
161 China Enterprise Securities Company Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2004-11-10
162 CHINA INTERNATIONAL CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-28
163 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
164 DELTA ASIA FINANCIAL FUTURES LIMITED 1 13 14 1 0 1 0 -13 -13 92.86 0.00
165 GRAND ALLIANCE ASSET MANAGEMENT LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2004-09-02
166 Greentech Technology Asset Management Company Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-20
167 HKFN WEALTH STRATEGY LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-11
168 ICHIYOSHI INTERNATIONAL (H.K.) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2004-12-01
169 JAGUAR INVESTMENT SERVICES, LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2015-06-22
170 KING FOOK COMMODITIES COMPANY LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2005-03-07
171 KuCoin Commodity Futures Limited 2 4 6 1 0 1 -1 -4 -5 66.67 0.00 2004-11-01
172 MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2005-02-02
173 OVERLOOK INVESTMENTS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2010-01-05
174 PACIFIC GROUP LIMITED (THE) 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-24
175 PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2004-10-18
176 Quam Asset Management Limited (b1983-06-28) 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-28
177 REGENT FINANCIAL SERVICES LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2005-02-08
178 REXCAPITAL FUTURES LIMITED 1 29 30 1 0 1 0 -29 -29 96.67 0.00 2004-11-30
179 SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2004-09-13
180 STOCKWELL COMMODITIES LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2005-02-22
181 Success Futures and Foreign Exchange Limited 2 2 4 0 1 1 -2 -1 -3 50.00 100.00 2004-08-31
182 TAK FUNG COMMODITIES LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-03-31
183 VC International Asset Management Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-19
184 VC INTERNATIONAL TRADING LIMITED 1 39 40 1 0 1 0 -39 -39 97.50 0.00 2022-10-27
185 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
186 WELLCHAMP CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-31
187 WINNINGTON CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
188 WTV GLOBAL INVESTMENTS MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-01
189 ASG FUTURES LIMITED 1 12 13 0 0 0 -1 -12 -13 92.31 - 2004-06-25
190 BERICH FUTURES (H.K.) COMPANY LIMITED 0 2 2 0 0 0 0 -2 -2 100.00 - 2004-07-06
191 BNP PARIBAS PEREGRINE FUTURES LIMITED 2 37 39 0 0 0 -2 -37 -39 94.87 - 2004-05-17
192 BOCI COMMODITIES & FUTURES LIMITED 0 31 31 0 0 0 0 -31 -31 100.00 - 2004-01-13
193 BUSINESS FUTURES LIMITED 2 9 11 0 0 0 -2 -9 -11 81.82 - 2004-06-11
194 CDIB VENTURE INVESTMENT (H.K.) CORPORATION LIMITED 0 1 1 0 0 0 0 -1 -1 100.00 - 2003-10-03
195 CHALLENGE COMMODITIES LIMITED 1 2 3 0 0 0 -1 -2 -3 66.67 - 2003-09-25
196 CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED 4 77 81 0 0 0 -4 -77 -81 95.06 - 2003-10-13
197 CORPORATE COMMODITIES LIMITED 3 24 27 0 0 0 -3 -24 -27 88.89 - 2004-02-18
198 CSC FUTURES (HK) LIMITED 1 18 19 0 0 0 -1 -18 -19 94.74 - 2004-03-29
199 CSI Corporate Finance (HK) Limited 2 7 9 0 0 0 -2 -7 -9 77.78 - 2004-07-30
200 DBS VICKERS FUTURES (HONG KONG) LIMITED 0 85 85 0 0 0 0 -85 -85 100.00 - 2004-06-30
201 EAST ASIA FUTURES LIMITED 1 6 7 0 0 0 -1 -6 -7 85.71 - 2004-02-02
202 EK INVESTMENT MANAGEMENT LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2003-12-03
203 ENLIGHTEN FUTURES LIMITED 1 5 6 0 0 0 -1 -5 -6 83.33 - 2004-11-30
204 EQ INVESTOR SERVICES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-12-31
205 FAIR EAGLE FUTURES COMPANY LIMITED 0 4 4 0 0 0 0 -4 -4 100.00 - 2005-01-06
206 FUJI HONG KONG COMMODITIES COMPANY LIMITED 2 11 13 0 0 0 -2 -11 -13 84.62 - 2003-09-24
207 GAIN ASSET MANAGEMENT LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2003-12-17
208 Ge Shang Investment (Hong Kong) Limited 0 1 1 0 0 0 0 -1 -1 100.00 - 2004-11-05
209 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 17 19 0 0 0 -2 -17 -19 89.47 - 2004-02-25
210 HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-07-07
211 HENDALE GROUP LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-09-24
212 HONG KONG INTERNATIONAL FUTURES LIMITED 5 13 18 0 0 0 -5 -13 -18 72.22 - 2004-07-20
213 HONOUR FUTURES LIMITED 2 8 10 0 0 0 -2 -8 -10 80.00 - 2004-09-03
214 HSBC Corporate Finance (Hong Kong) Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-01-25
215 HSBC FUTURES (SINGAPORE) PTE LTD 2 11 13 0 0 0 -2 -11 -13 84.62 - 2003-08-29
216 HSBC STRUCTURED FUNDS (ASIA) LIMITED 2 4 6 0 0 0 -2 -4 -6 66.67 - 2004-02-10
217 HUNG SING FUTURES LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2004-11-23
218 IMPAC ASSET MANAGEMENT (HK) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2017-01-03
219 Interactive Brokers LLC 0 1 1 0 0 0 0 -1 -1 100.00 - 2004-12-22
220 INTERCHINA FUTURES LIMITED 2 16 18 0 0 0 -2 -16 -18 88.89 - 2004-01-14
221 J.P. MORGAN FUTURES HONG KONG LIMITED 3 18 21 0 0 0 -3 -18 -21 85.71 - 2003-12-08
222 KINGSWAY UNIT TRUST MANAGERS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-02-13
223 KWK ASIA MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-09-11
224 LEHMAN BROTHERS ASIA LIMITED 0 2 2 0 0 0 0 -2 -2 100.00 - 2003-09-19
225 MEGABASE FUTURES CO. LIMITED 2 4 6 0 0 0 -2 -4 -6 66.67 - 2003-11-22
226 MIB FUTURES (HONG KONG) LIMITED 0 5 5 0 0 0 0 -5 -5 100.00 - 2003-08-06
227 Newedge Broker Limited 0 10 10 0 0 0 0 -10 -10 100.00 - 2004-10-08
228 OCBC Futures Investment (Hong Kong) Limited 1 4 5 0 0 0 -1 -4 -5 80.00 - 2003-10-20
229 PO SANG SECURITIES LIMITED 2 9 11 0 0 0 -2 -9 -11 81.82 - 2004-01-14
230 PRUDENCE FUTURES LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2004-04-16
231 Public Futures Limited 0 3 3 0 0 0 0 -3 -3 100.00 - 2003-10-31
232 SIMPLEX ASSET MANAGEMENT (HK) COMPANY LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-12-01
233 Sunwah Kingsway Leasing and Finance Limited 2 7 9 0 0 0 -2 -7 -9 77.78 - 2004-06-24
234 T Y International 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-05-11
235 TOKAI TOKYO SECURITIES (ASIA) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-11-12
236 Tokio Marine Investment Services, Limited 0 1 1 0 0 0 0 -1 -1 100.00 - 2005-01-11
237 UFJ INVESTMENTS ASIA LIMITED 1 10 11 0 0 0 -1 -10 -11 90.91 - 2003-09-30
238 WIGRAM CAPITAL LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-08-06
239 WOCOM LIMITED (HK) 0 29 29 0 0 0 0 -29 -29 100.00 - 2004-11-09
240 YICKO FUTURES LIMITED 1 7 8 0 0 0 -1 -7 -8 87.50 - 2004-06-01
241 Youyu Credit Limited 1 7 8 0 0 0 -1 -7 -8 87.50 - 2003-08-01
242 YU ON COMMODITIES COMPANY LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2003-10-10
243 Zhonghao International Futures Co., Limited 3 6 9 0 0 0 -3 -6 -9 66.67 - 2003-10-30
Average 1.69 12.29 13.98 1.75 5.30 7.05 87.95 75.17

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