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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2003-10-31 2004-10-31 Change Rep v total
Row Name RO Rep Total RO Rep Total RO Rep Total Start
%		 End
%		 Licence
start		 Licence
end
1 PHILLIP COMMODITIES (H.K.) LIMITED 2 97 99 2 78 80 0 -19 -19 97.98 97.50
2 MERRILL LYNCH FUTURES (HONG KONG) LIMITED 2 70 72 1 66 67 -1 -4 -5 97.22 98.51 2005-01-25
3 Nomura Asia Investment (Hong Kong) Limited 1 50 51 1 39 40 0 -11 -11 98.04 97.50 2005-01-25
4 Funderstone Futures Limited 4 28 32 3 28 31 -1 0 -1 87.50 90.32
5 NOMURA INTERNATIONAL (HONG KONG) LIMITED 1 37 38 2 29 31 1 -8 -7 97.37 93.55
6 JPMorgan Asset Management (Asia Pacific) Limited 4 21 25 2 26 28 -2 5 3 84.00 92.86
7 CHOW SANG SANG FUTURES LIMITED 2 28 30 2 23 25 0 -5 -5 93.33 92.00 2004-11-12
8 J.P. MORGAN BROKING (HONG KONG) LIMITED 0 0 0 4 21 25 4 21 25 - 84.00 2003-12-02
9 Duncan Futures Limited 3 22 25 2 21 23 -1 -1 -2 88.00 91.30 2005-03-08
10 KAISER FUTURES LIMITED 2 24 26 2 21 23 0 -3 -3 92.31 91.30 2005-02-18
11 GET NICE FUTURES COMPANY LIMITED 1 21 22 1 19 20 0 -2 -2 95.45 95.00
12 RBC FUTURES SERVICES (ASIA) LIMITED 1 23 24 2 18 20 1 -5 -4 95.83 90.00 2005-10-28
13 STATE STREET GLOBAL ADVISORS ASIA LIMITED 2 15 17 2 16 18 0 1 1 88.24 88.89
14 ADMIS Hong Kong Limited 1 14 15 3 14 17 2 0 2 93.33 82.35
15 CHARLES SCHWAB, HONG KONG, LIMITED 3 4 7 3 13 16 0 9 9 57.14 81.25 2016-08-31
16 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 13 15 1 13 14 -1 0 -1 86.67 92.86 2018-12-31
17 BEAR STEARNS HONG KONG LIMITED 1 13 14 1 12 13 0 -1 -1 92.86 92.31 2009-05-14
18 HANG SENG FUTURES LIMITED 4 3 7 4 9 13 0 6 6 42.86 69.23 2017-11-17
19 UBS SECURITIES ASIA LIMITED 1 15 16 1 12 13 0 -3 -3 93.75 92.31 2005-02-04
20 Well Link International Securities Limited 3 21 24 2 11 13 -1 -10 -11 87.50 84.62 2005-02-14
21 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 4 9 13 4 8 12 0 -1 -1 69.23 66.67
22 HSBC Global Asset Management (Hong Kong) Limited 2 8 10 4 6 10 2 -2 0 80.00 60.00
23 Manulife Investment Management (Hong Kong) Limited 2 7 9 2 8 10 0 1 1 77.78 80.00
24 CMB INTERNATIONAL FUTURES LIMITED 2 8 10 2 7 9 0 -1 -1 80.00 77.78 2004-11-26
25 DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED 1 9 10 1 8 9 0 -1 -1 90.00 88.89 2005-01-25
26 BARING ASSET MANAGEMENT (ASIA) LIMITED 3 7 10 3 5 8 0 -2 -2 70.00 62.50
27 GOLDMAN SACHS (ASIA) L.L.C. 4 3 7 3 5 8 -1 2 1 42.86 62.50
28 Legg Mason Asset Management Hong Kong Limited 2 7 9 2 6 8 0 -1 -1 77.78 75.00 2006-09-25
29 Legg Mason International Equities (Hong Kong) Limited 2 5 7 2 6 8 0 1 1 71.43 75.00 2006-09-25
30 UBS DERIVATIVES HONG KONG LIMITED 1 8 9 1 7 8 0 -1 -1 88.89 87.50 2005-02-07
31 GAM HONG KONG LIMITED 2 4 6 3 4 7 1 0 1 66.67 57.14 2013-06-19
32 METRO CAPITAL FUTURES LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2014-11-26
33 PEACE TOWN FUTURES LIMITED 4 12 16 4 3 7 0 -9 -9 75.00 42.86 2012-09-27
34 RG ASSET MANAGEMENT COMPANY LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14 2013-11-25
35 ROCTEC FUTURES TRADING COMPANY LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2005-01-21
36 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 3 5 2 5 7 0 2 2 60.00 71.43 2012-01-12
37 SIU YIP COMMODITY LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14 2004-11-26
38 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 3 7 10 2 5 7 -1 -2 -3 70.00 71.43 2016-04-19
39 ABN AMRO Clearing (Futures) Hong Kong Limited 1 5 6 1 5 6 0 0 0 83.33 83.33 2005-03-03
40 AlTi Wealth Management (Hong Kong) Limited 0 0 0 2 4 6 2 4 6 - 66.67 2004-05-11
41 CHONG HING COMMODITIES AND FUTURES LIMITED 4 4 8 3 3 6 -1 -1 -2 50.00 50.00 2005-01-19
42 Credit Suisse Futures (Hong Kong) Limited 1 7 8 0 6 6 -1 -1 -2 87.50 100.00 2005-01-03
43 MUSHK Limited 2 5 7 3 3 6 1 -2 -1 71.43 50.00 2011-06-01
44 PI INVESTMENT MANAGEMENT LIMITED 3 0 3 3 3 6 0 3 3 0.00 50.00 2007-09-28
45 SOUTH CHINA COMMODITIES LIMITED 3 67 70 3 3 6 0 -64 -64 95.71 50.00 2005-01-31
46 SUN'S FUTURE LIMITED 3 6 9 3 3 6 0 -3 -3 66.67 50.00 2005-02-18
47 Tyric Capital Limited 0 0 0 3 3 6 3 3 6 - 50.00 2003-11-13
48 WFM Asia (HK) Limited 1 3 4 2 4 6 1 1 2 75.00 66.67 2013-11-05
49 AllianceBernstein Hong Kong Limited 3 2 5 3 2 5 0 0 0 40.00 40.00
50 Allianz Global Investors Hong Kong Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2007-06-28
51 BNP PARIBAS FUTURES (HONG KONG) LIMITED 1 6 7 1 4 5 0 -2 -2 85.71 80.00 2004-11-29
52 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2018-09-21
53 CLSA FUTURES LIMITED 2 21 23 2 3 5 0 -18 -18 91.30 60.00 2016-06-02
54 HAITONG INTERNATIONAL FUTURES LIMITED 2 8 10 5 0 5 3 -8 -5 80.00 0.00
55 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00
56 KGI FUTURES (HONG KONG) LIMITED 1 117 118 3 2 5 2 -115 -113 99.15 40.00
57 MAGUSTA FUTURES LIMITED 2 6 8 2 3 5 0 -3 -3 75.00 60.00 2013-02-26
58 OKACHI (HONG KONG) COMPANY LIMITED 1 15 16 0 5 5 -1 -10 -11 93.75 100.00 2005-02-07
59 QUAM FUTURES LIMITED 3 12 15 0 5 5 -3 -7 -10 80.00 100.00 2005-02-28
60 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
61 Standard Commodities (Asia) Limited 1 2 3 1 4 5 0 2 2 66.67 80.00 2008-05-16
62 TC Investment Management (Asia) Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2008-02-14
63 AD Capital Management (Hong Kong) Limited 0 0 0 2 2 4 2 2 4 - 50.00 2004-09-08
64 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 4 4 8 3 1 4 -1 -3 -4 50.00 25.00 2012-06-25
65 ALPHA FUTURES COMPANY LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2005-01-24
66 BEA Union Investment Management Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2022-07-12
67 CES Commodities (HK) Limited 1 196 197 1 3 4 0 -193 -193 99.49 75.00 2005-03-08
68 CIBC Global Asset Management (Asia) Limited 1 3 4 1 3 4 0 0 0 75.00 75.00 2006-01-10
69 CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED 2 81 83 1 3 4 -1 -78 -79 97.59 75.00 2004-10-25
70 DELTA ASIA FINANCIAL FUTURES LIMITED 1 10 11 1 3 4 0 -7 -7 90.91 75.00
71 First Sentier Investors (Hong Kong) Limited 1 2 3 2 2 4 1 0 1 66.67 50.00 2006-08-29
72 FIRST STATE (HONG KONG) LLC 1 2 3 2 2 4 1 0 1 66.67 50.00 2006-08-29
73 HSBC Global Asset Management Holdings (Bahamas) Limited 2 0 2 4 0 4 2 0 2 0.00 0.00 2020-06-02
74 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 1 0 1 4 0 4 3 0 3 0.00 0.00
75 SHENWAN HONGYUAN FUTURES (H.K.) LIMITED 1 49 50 1 3 4 0 -46 -46 98.00 75.00 2004-12-08
76 TAIFAIR FUTURES LIMITED 1 4 5 1 3 4 0 -1 -1 80.00 75.00 2005-02-23
77 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-02-09
78 AKTIS CAPITAL ADVISORY LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2003-11-29
79 Arta Global Futures Limited 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2004-11-19
80 ASIA ABSOLUTE ADVISORS LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2004-08-19 2007-01-25
81 ASIA DEBT MANAGEMENT HONG KONG LIMITED 1 1 2 1 2 3 0 1 1 50.00 66.67 2005-06-29
82 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2015-06-15
83 AXIOM INVESTMENT MANAGEMENT LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33 2014-05-07
84 BALLINGAL INVESTMENT ADVISORS LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2004-08-13
85 BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2007-01-31
86 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2004-12-03
87 CELESTIAL COMMODITIES LIMITED 0 87 87 0 3 3 0 -84 -84 100.00 100.00 2005-01-25
88 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 15 17 2 1 3 0 -14 -14 88.24 33.33
89 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33 2011-03-23
90 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 1 2 3 1 2 3 0 0 0 66.67 66.67 2007-07-12
91 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
92 FIRST SHANGHAI FUTURES LIMITED 2 15 17 2 1 3 0 -14 -14 88.24 33.33
93 GOLDMAN SACHS FUTURES (ASIA) LIMITED 1 75 76 2 1 3 1 -74 -73 98.68 33.33 2016-10-10
94 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 1 2 3 2 1 3 1 -1 0 66.67 33.33
95 HAMON ASSET MANAGEMENT LIMITED 1 2 3 3 0 3 2 -2 0 66.67 0.00
96 JEFFERIES BACHE (HONG KONG) LIMITED 2 65 67 2 1 3 0 -64 -64 97.01 33.33 2004-12-10
97 KINGSTON FUTURES LIMITED 2 16 18 2 1 3 0 -15 -15 88.89 33.33 2005-01-24
98 Nomura Asset Management Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2004-12-16
99 OCP Asia (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2004-09-03 2022-06-13
100 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
101 PFP Capital Limited 1 2 3 3 0 3 2 -2 0 66.67 0.00
102 PineBridge Investments Hong Kong Limited 1 2 3 1 2 3 0 0 0 66.67 66.67 2005-03-15
103 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2003-10-30 2015-04-22
104 TOPMORE COMMODITIES LIMITED 3 9 12 2 1 3 -1 -8 -9 75.00 33.33 2004-11-22
105 UNI-ALPHA FUTURES LIMITED 1 4 5 1 2 3 0 -2 -2 80.00 66.67 2004-08-30
106 UPBEST COMMODITIES COMPANY LIMITED 1 6 7 2 1 3 1 -5 -4 85.71 33.33
107 Yuanta Asia Investment (Hong Kong) Limited 2 2 4 3 0 3 1 -2 -1 50.00 0.00 2003-08-13 2013-11-01
108 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-07-30
109 AFG CAPITAL ASSETS LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2004-09-01 2006-07-28
110 AP Asset Management (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2004-08-26 2013-12-04
111 AXA Investment Managers Asia Limited 1 0 1 2 0 2 1 0 1 0.00 0.00 2015-06-15
112 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
113 CHAOS INTERNATIONAL FINANCIAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-06-10
114 CHINA INTERNATIONAL CAPITAL LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2005-02-28
115 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
116 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
117 DEUTSCHE SECURITIES ASIA LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2004-01-08 2020-02-04
118 EMPEROR FUTURES LIMITED 2 23 25 2 0 2 0 -23 -23 92.00 0.00
119 FIL Investment Advisors 1 1 2 1 1 2 0 0 0 50.00 50.00
120 FIL Investment Management (Hong Kong) Limited 1 1 2 1 1 2 0 0 0 50.00 50.00
121 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
122 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2024-03-21
123 ICBC Asset Management (Global) Company Limited 1 1 2 1 1 2 0 0 0 50.00 50.00
124 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
125 JPMorgan Asset Management (Japan) Limited 1 0 1 2 0 2 1 0 1 0.00 0.00 2011-07-15
126 KARL-THOMSON COMMODITIES COMPANY LIMITED 2 13 15 1 1 2 -1 -12 -13 86.67 50.00 2004-11-26
127 LIM ADVISORS LIMITED 1 2 3 1 1 2 0 -1 -1 66.67 50.00 2021-02-17
128 Mackenzie Investments Asia Limited 1 2 3 2 0 2 1 -2 -1 66.67 0.00 2006-11-14
129 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
130 Oasis Management (Hong Kong) 0 0 0 2 0 2 2 0 2 - 0.00 2004-09-14
131 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 10 12 2 0 2 0 -10 -10 83.33 0.00 2008-09-05
132 PGIM (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-02-04
133 PHOENIX CAPITAL FUTURES LIMITED 3 2 5 2 0 2 -1 -2 -3 40.00 0.00 2005-02-01
134 PineBridge Investments Asia Limited 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-03-15
135 PRUDENTIAL INDEX TRADING COMPANY LIMITED 1 22 23 1 1 2 0 -21 -21 95.65 50.00
136 RBC INVESTMENT SERVICES (ASIA) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2004-10-14
137 SAGE ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-10-13
138 SBI China Capital Commodities Limited 1 2 3 1 1 2 0 -1 -1 66.67 50.00 2013-07-16
139 SHUN LOONG FUTURES LIMITED 1 25 26 0 2 2 -1 -23 -24 96.15 100.00 2005-01-13
140 SINOPAC FUTURES (ASIA) LIMITED 1 10 11 2 0 2 1 -10 -9 90.91 0.00 2014-09-25
141 SKY WARD GLOBAL MANAGEMENT LIMITED 2 0 2 1 1 2 -1 1 0 0.00 50.00 2012-07-10
142 SPS COMMODITIES LIMITED 2 7 9 1 1 2 -1 -6 -7 77.78 50.00 2005-01-20
143 STANDARD & POOR'S, LLC 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-30
144 STRATEGIC OPTIONS INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-12-05
145 Sumitomo Mitsui DS Asset Management (Hong Kong) Limited 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-01-25
146 TAI YIP COMMODITIES & FUTURES LIMITED 2 3 5 2 0 2 0 -3 -3 60.00 0.00 2004-11-19
147 VALUE PARTNERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
148 WELLAM INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-12-24
149 WONDER FACE FUND MANAGEMENT COMPANY LIMITED 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-02-17
150 ABN AMRO Clearing Hong Kong Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-03-03
151 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00
152 BNP PARIBAS DEALING SERVICES ASIA LIMITED 1 2 3 1 0 1 0 -2 -2 66.67 0.00 2010-11-03
153 BROOKE CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-01
154 CES International Commodities (HK) Limited 1 2 3 1 0 1 0 -2 -2 66.67 0.00 2005-03-07
155 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
156 Greentech Technology Asset Management Company Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-20
157 HKFN WEALTH STRATEGY LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-11
158 IMPAC ASSET MANAGEMENT (HK) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2017-01-03
159 INVESCO HONG KONG LIMITED 4 0 4 1 0 1 -3 0 -3 0.00 0.00
160 JAGUAR INVESTMENT SERVICES, LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2015-06-22
161 KuCoin Commodity Futures Limited 2 3 5 1 0 1 -1 -3 -4 60.00 0.00 2004-11-01
162 MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2005-02-02
163 OVERLOOK INVESTMENTS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2010-01-05
164 PACIFIC GROUP LIMITED (THE) 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-24
165 Quam Asset Management Limited (b1983-06-28) 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-28
166 RBS Asia Futures Limited 2 5 7 1 0 1 -1 -5 -6 71.43 0.00 2005-01-25
167 REGENT FINANCIAL SERVICES LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-08
168 REXCAPITAL FUTURES LIMITED 1 29 30 1 0 1 0 -29 -29 96.67 0.00 2004-11-30
169 RICHMOND ASSET MANAGEMENT LIMITED (HK) 1 2 3 1 0 1 0 -2 -2 66.67 0.00 2005-01-13
170 SOFAER GLOBAL RESEARCH (HK) LIMITED 0 2 2 0 1 1 0 -1 -1 100.00 100.00 2011-01-18
171 STOCKWELL COMMODITIES LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2005-02-22
172 VC International Asset Management Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-19
173 VC INTERNATIONAL TRADING LIMITED 1 35 36 1 0 1 0 -35 -35 97.22 0.00 2022-10-27
174 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
175 WELLCHAMP CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-31
176 WINNINGTON CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
177 WTV GLOBAL INVESTMENTS MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-01
178 AISANCE ASSET MANAGEMENT LIMITED 0 26 26 0 0 0 0 -26 -26 100.00 - 2004-09-02
179 BARCLAYS CAPITAL FUTURES HONG KONG LIMITED 0 3 3 0 0 0 0 -3 -3 100.00 - 2004-12-28
180 BERICH FUTURES (H.K.) COMPANY LIMITED 0 1 1 0 0 0 0 -1 -1 100.00 - 2004-07-06
181 BNP PARIBAS PEREGRINE FUTURES LIMITED 1 34 35 0 0 0 -1 -34 -35 97.14 - 2004-05-17
182 BOCI COMMODITIES & FUTURES LIMITED 0 29 29 0 0 0 0 -29 -29 100.00 - 2004-01-13
183 BUSINESS FUTURES LIMITED 0 1 1 0 0 0 0 -1 -1 100.00 - 2004-06-11
184 CHIEF COMMODITIES LIMITED 2 9 11 0 0 0 -2 -9 -11 81.82 - 2004-10-15
185 China Enterprise Securities Company Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-11-10
186 CORPORATE COMMODITIES LIMITED 3 23 26 0 0 0 -3 -23 -26 88.46 - 2004-02-18
187 CSC FUTURES (HK) LIMITED 1 12 13 0 0 0 -1 -12 -13 92.31 - 2004-03-29
188 CSI Corporate Finance (HK) Limited 1 7 8 0 0 0 -1 -7 -8 87.50 - 2004-07-30
189 DBS VICKERS FUTURES (HONG KONG) LIMITED 0 2 2 0 0 0 0 -2 -2 100.00 - 2004-06-30
190 EAST ASIA FUTURES LIMITED 1 5 6 0 0 0 -1 -5 -6 83.33 - 2004-02-02
191 EK INVESTMENT MANAGEMENT LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2003-12-03
192 ENLIGHTEN FUTURES LIMITED 0 2 2 0 0 0 0 -2 -2 100.00 - 2004-11-30
193 EQ INVESTOR SERVICES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-12-31
194 FAIR EAGLE FUTURES COMPANY LIMITED 0 2 2 0 0 0 0 -2 -2 100.00 - 2005-01-06
195 Finet Securities Limited 2 1 3 0 0 0 -2 -1 -3 33.33 - 2004-09-23
196 GAIN ASSET MANAGEMENT LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2003-12-17
197 Ge Shang Investment (Hong Kong) Limited 0 1 1 0 0 0 0 -1 -1 100.00 - 2004-11-05
198 GM FINANCIAL FORMULA LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-09-09
199 GRAND ALLIANCE ASSET MANAGEMENT LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2004-09-02
200 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 17 19 0 0 0 -2 -17 -19 89.47 - 2004-02-25
201 HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-07-07
202 HONG KONG INTERNATIONAL FUTURES LIMITED 4 13 17 0 0 0 -4 -13 -17 76.47 - 2004-07-20
203 HSBC BROKING FUTURES (ASIA) LIMITED 3 95 98 0 0 0 -3 -95 -98 96.94 - 2004-09-10
204 HSBC BROKING FUTURES (HONG KONG) LIMITED 3 41 44 0 0 0 -3 -41 -44 93.18 - 2004-09-10
205 HSBC Corporate Finance (Hong Kong) Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-01-25
206 HSBC STRUCTURED FUNDS (ASIA) LIMITED 1 4 5 0 0 0 -1 -4 -5 80.00 - 2004-02-10
207 ICHIYOSHI INTERNATIONAL (H.K.) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-12-01
208 Interactive Brokers LLC 0 1 1 0 0 0 0 -1 -1 100.00 - 2004-12-22
209 INTERCHINA FUTURES LIMITED 2 9 11 0 0 0 -2 -9 -11 81.82 - 2004-01-14
210 J.P. MORGAN FUTURES HONG KONG LIMITED 3 17 20 0 0 0 -3 -17 -20 85.00 - 2003-12-08
211 KING FOOK COMMODITIES COMPANY LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-03-07
212 KINGSWAY UNIT TRUST MANAGERS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-02-13
213 MEGABASE FUTURES CO. LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2003-11-22
214 Nerico Brothers Limited (HK) 2 2 4 0 0 0 -2 -2 -4 50.00 - 2004-08-02
215 NEW TREND FUTURES LIMITED 3 18 21 0 0 0 -3 -18 -21 85.71 - 2004-10-25
216 Newedge Broker Limited 0 3 3 0 0 0 0 -3 -3 100.00 - 2004-10-08
217 Planetree Futures Limited 2 4 6 0 0 0 -2 -4 -6 66.67 - 2004-09-28
218 PO SANG SECURITIES LIMITED 2 9 11 0 0 0 -2 -9 -11 81.82 - 2004-01-14
219 PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-10-18
220 PRUDENCE FUTURES LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2004-04-16
221 SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-09-13
222 SIMPLEX ASSET MANAGEMENT (HK) COMPANY LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-12-01
223 Success Futures and Foreign Exchange Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2004-08-31
224 Sunwah Kingsway Leasing and Finance Limited 2 6 8 0 0 0 -2 -6 -8 75.00 - 2004-06-24
225 T Y International 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-05-11
226 TAK FUNG COMMODITIES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-03-31
227 TOKAI TOKYO SECURITIES (ASIA) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-11-12
228 Tokio Marine Investment Services, Limited 0 1 1 0 0 0 0 -1 -1 100.00 - 2005-01-11
229 Vantum Securities and Futures Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2004-09-16
230 YICKO FUTURES LIMITED 1 7 8 0 0 0 -1 -7 -8 87.50 - 2004-06-01
Average 1.67 10.31 11.98 1.83 4.21 6.04 86.08 69.69

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