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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2003-11-30 2004-11-30 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 96 98 2 78 80 0 -18 -18 97.96 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 JPMorgan Asset Management (Asia Pacific) Limited 4 21 25 2 27 29 -2 6 4 84.00 93.10
4 Funderstone Futures Limited 4 28 32 2 26 28 -2 -2 -4 87.50 92.86
5 CHOW SANG SANG FUTURES LIMITED 2 27 29 2 23 25 0 -4 -4 93.10 92.00 2004-11-12
6 J.P. MORGAN BROKING (HONG KONG) LIMITED 0 0 0 4 21 25 4 21 25 - 84.00 2003-12-02
7 Duncan Futures Limited 3 21 24 2 21 23 -1 0 -1 87.50 91.30 2005-03-08
8 KAISER FUTURES LIMITED 2 22 24 2 21 23 0 -1 -1 91.67 91.30 2005-02-18
9 GET NICE FUTURES COMPANY LIMITED 1 20 21 1 21 22 0 1 1 95.24 95.45
10 RBC FUTURES SERVICES (ASIA) LIMITED 1 22 23 2 18 20 1 -4 -3 95.65 90.00 2005-10-28
11 STATE STREET GLOBAL ADVISORS ASIA LIMITED 2 15 17 2 17 19 0 2 2 88.24 89.47
12 ADMIS Hong Kong Limited 1 14 15 3 14 17 2 0 2 93.33 82.35
13 CHARLES SCHWAB, HONG KONG, LIMITED 3 6 9 3 13 16 0 7 7 66.67 81.25 2016-08-31
14 RBC INVESTMENT SERVICES (ASIA) LIMITED 0 0 0 2 13 15 2 13 15 - 86.67 2004-10-14
15 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 13 15 1 13 14 -1 0 -1 86.67 92.86 2018-12-31
16 BEAR STEARNS HONG KONG LIMITED 1 13 14 1 12 13 0 -1 -1 92.86 92.31 2009-05-14
17 HANG SENG FUTURES LIMITED 4 4 8 4 9 13 0 5 5 50.00 69.23 2017-11-17
18 UBS SECURITIES ASIA LIMITED 1 15 16 1 12 13 0 -3 -3 93.75 92.31 2005-02-04
19 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 4 9 13 4 8 12 0 -1 -1 69.23 66.67
20 NOMURA INTERNATIONAL (HONG KONG) LIMITED 1 37 38 2 10 12 1 -27 -26 97.37 83.33
21 Well Link International Securities Limited 3 21 24 1 11 12 -2 -10 -12 87.50 91.67 2005-02-14
22 BARING ASSET MANAGEMENT (ASIA) LIMITED 3 7 10 4 5 9 1 -2 -1 70.00 55.56
23 HSBC Global Asset Management (Hong Kong) Limited 2 8 10 4 5 9 2 -3 -1 80.00 55.56
24 Manulife Investment Management (Hong Kong) Limited 2 7 9 2 7 9 0 0 0 77.78 77.78
25 CMB INTERNATIONAL FUTURES LIMITED 2 8 10 1 7 8 -1 -1 -2 80.00 87.50 2004-11-26
26 DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED 1 9 10 1 7 8 0 -2 -2 90.00 87.50 2005-01-25
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 Tyric Capital Limited 2 2 4 3 4 7 1 2 3 50.00 57.14 2003-11-13
37 ABN AMRO Clearing (Futures) Hong Kong Limited 1 5 6 1 5 6 0 0 0 83.33 83.33 2005-03-03
38 AlTi Wealth Management (Hong Kong) Limited 0 0 0 2 4 6 2 4 6 - 66.67 2004-05-11
39 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 1 4 3 3 6 0 2 2 25.00 50.00 2018-09-21
40 CHONG HING COMMODITIES AND FUTURES LIMITED 4 3 7 3 3 6 -1 0 -1 42.86 50.00 2005-01-19
41 Credit Suisse Futures (Hong Kong) Limited 1 7 8 0 6 6 -1 -1 -2 87.50 100.00 2005-01-03
42 MUSHK Limited 2 5 7 3 3 6 1 -2 -1 71.43 50.00 2011-06-01
43 PI INVESTMENT MANAGEMENT LIMITED 3 0 3 3 3 6 0 3 3 0.00 50.00 2007-09-28
44 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67 2012-01-12
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 WFM Asia (HK) Limited 1 3 4 2 4 6 1 1 2 75.00 66.67 2013-11-05
48 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 3 7 10 2 4 6 -1 -3 -4 70.00 66.67 2016-04-19
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 CLSA FUTURES LIMITED 2 21 23 2 3 5 0 -18 -18 91.30 60.00 2016-06-02
52 HAITONG INTERNATIONAL FUTURES LIMITED 2 7 9 5 0 5 3 -7 -4 77.78 0.00
53 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00
54 MAGUSTA FUTURES LIMITED 2 6 8 2 3 5 0 -3 -3 75.00 60.00 2013-02-26
55 OKACHI (HONG KONG) COMPANY LIMITED 1 14 15 0 5 5 -1 -9 -10 93.33 100.00 2005-02-07
56 QUAM FUTURES LIMITED 3 11 14 0 5 5 -3 -6 -9 78.57 100.00 2005-02-28
57 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
58 Standard Commodities (Asia) Limited 1 2 3 1 4 5 0 2 2 66.67 80.00 2008-05-16
59 AD Capital Management (Hong Kong) Limited 0 0 0 2 2 4 2 2 4 - 50.00 2004-09-08
60 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 4 4 8 3 1 4 -1 -3 -4 50.00 25.00 2012-06-25
61 ALPHA FUTURES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2005-01-24
62 BEA Union Investment Management Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2022-07-12
63 CES Commodities (HK) Limited 1 148 149 1 3 4 0 -145 -145 99.33 75.00 2005-03-08
64 CIBC Global Asset Management (Asia) Limited 1 3 4 1 3 4 0 0 0 75.00 75.00 2006-01-10
65 DELTA ASIA FINANCIAL FUTURES LIMITED 1 10 11 1 3 4 0 -7 -7 90.91 75.00
66 First Sentier Investors (Hong Kong) Limited 1 2 3 2 2 4 1 0 1 66.67 50.00 2006-08-29
67 FIRST STATE (HONG KONG) LLC 1 2 3 2 2 4 1 0 1 66.67 50.00 2006-08-29
68 HSBC Global Asset Management Holdings (Bahamas) Limited 2 0 2 4 0 4 2 0 2 0.00 0.00 2020-06-02
69 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 1 0 1 4 0 4 3 0 3 0.00 0.00
70 KGI FUTURES (HONG KONG) LIMITED 2 115 117 3 1 4 1 -114 -113 98.29 25.00
71 SHENWAN HONGYUAN FUTURES (H.K.) LIMITED 1 48 49 1 3 4 0 -45 -45 97.96 75.00 2004-12-08
72 TAIFAIR FUTURES LIMITED 1 4 5 1 3 4 0 -1 -1 80.00 75.00 2005-02-23
73 TC Investment Management (Asia) Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2008-02-14
74 UPBEST COMMODITIES COMPANY LIMITED 1 6 7 2 2 4 1 -4 -3 85.71 50.00
75 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-02-09
76 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2003-11-29
77 ASIA ABSOLUTE ADVISORS LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2004-08-19 2007-01-25
78 ASIA DEBT MANAGEMENT HONG KONG LIMITED 1 1 2 2 1 3 1 0 1 50.00 33.33 2005-06-29
79 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2015-06-15
80 AXIOM INVESTMENT MANAGEMENT LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33 2014-05-07
81 BALLINGAL INVESTMENT ADVISORS LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2004-08-13
82 BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2007-01-31
83 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 14 16 2 1 3 0 -13 -13 87.50 33.33
84 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33 2011-03-23
85 CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED 2 81 83 0 3 3 -2 -78 -80 97.59 100.00 2004-10-25
86 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 1 2 3 2 1 3 1 -1 0 66.67 33.33 2007-07-12
87 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
88 FIL Investment Advisors 1 1 2 2 1 3 1 0 1 50.00 33.33
89 FIL Investment Management (Hong Kong) Limited 1 1 2 2 1 3 1 0 1 50.00 33.33
90 FIRST SHANGHAI FUTURES LIMITED 2 15 17 2 1 3 0 -14 -14 88.24 33.33
91 GINGER CAPITAL MANAGEMENT LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2004-11-18 2009-05-29
92 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 1 2 3 2 1 3 1 -1 0 66.67 33.33
93 HAMON ASSET MANAGEMENT LIMITED 1 2 3 3 0 3 2 -2 0 66.67 0.00
94 JEFFERIES BACHE (HONG KONG) LIMITED 2 65 67 2 1 3 0 -64 -64 97.01 33.33 2004-12-10
95 Metaverse Securities Limited (HK) 2 0 2 2 1 3 0 1 1 0.00 33.33
96 OCP Asia (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2004-09-03 2022-06-13
97 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
98 PFP Capital Limited 1 2 3 3 0 3 2 -2 0 66.67 0.00
99 PineBridge Investments Hong Kong Limited 1 2 3 1 2 3 0 0 0 66.67 66.67 2005-03-15
100 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2003-10-30 2015-04-22
101 UNI-ALPHA FUTURES LIMITED 1 4 5 1 2 3 0 -2 -2 80.00 66.67 2004-08-30
102 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
103 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-07-30
104 AFG CAPITAL ASSETS LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2004-09-01 2006-07-28
105 AP Asset Management (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2004-08-26 2013-12-04
106 AXA Investment Managers Asia Limited 1 0 1 2 0 2 1 0 1 0.00 0.00 2015-06-15
107 BLUE POOL CAPITAL LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2004-11-10 2015-12-01
108 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
109 BOCI COMMODITIES & FUTURES LIMITED 0 29 29 2 0 2 2 -29 -27 100.00 0.00 2004-11-17
110 BOCI COMMODITIES & FUTURES LIMITED 0 29 29 2 0 2 2 -29 -27 100.00 0.00 2004-01-13
111 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2004-12-03
112 CHAOS INTERNATIONAL FINANCIAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-06-10
113 CHINA INTERNATIONAL CAPITAL LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2005-02-28
114 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
115 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
116 DEUTSCHE SECURITIES ASIA LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2004-01-08 2020-02-04
117 EMPEROR FUTURES LIMITED 2 23 25 2 0 2 0 -23 -23 92.00 0.00
118 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
119 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2024-03-21
120 GOLDMAN SACHS FUTURES (ASIA) LIMITED 1 73 74 2 0 2 1 -73 -72 98.65 0.00 2016-10-10
121 ICBC Asset Management (Global) Company Limited 1 1 2 1 1 2 0 0 0 50.00 50.00
122 INVESCO HONG KONG LIMITED 4 0 4 1 1 2 -3 1 -2 0.00 50.00
123 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
124 JPMorgan Asset Management (Japan) Limited 1 0 1 2 0 2 1 0 1 0.00 0.00 2011-07-15
125 KINGSTON FUTURES LIMITED 2 16 18 1 1 2 -1 -15 -16 88.89 50.00 2005-01-24
126 LIM ADVISORS LIMITED 1 2 3 1 1 2 0 -1 -1 66.67 50.00 2021-02-17
127 Mackenzie Investments Asia Limited 1 2 3 2 0 2 1 -2 -1 66.67 0.00 2006-11-14
128 Nomura Asset Management Hong Kong Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2004-12-16
129 Oasis Management (Hong Kong) 0 0 0 2 0 2 2 0 2 - 0.00 2004-09-14
130 OVERLOOK INVESTMENTS LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2010-01-05
131 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 1 10 11 2 0 2 1 -10 -9 90.91 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 2 2 4 2 0 2 0 -2 -2 50.00 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 21 22 1 1 2 0 -20 -20 95.45 50.00
136 SAGE ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-10-13
137 SBI China Capital Commodities Limited 1 2 3 1 1 2 0 -1 -1 66.67 50.00 2013-07-16
138 SINOPAC FUTURES (ASIA) LIMITED 1 10 11 2 0 2 1 -10 -9 90.91 0.00 2014-09-25
139 SKY WARD GLOBAL MANAGEMENT LIMITED 2 0 2 1 1 2 -1 1 0 0.00 50.00 2012-07-10
140 SPS COMMODITIES LIMITED 2 7 9 1 1 2 -1 -6 -7 77.78 50.00 2005-01-20
141 STANDARD & POOR'S, LLC 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-30
142 STRATEGIC OPTIONS INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-12-05
143 Sumitomo Mitsui DS Asset Management (Hong Kong) Limited 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-01-25
144 VALUE PARTNERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
145 WELLAM INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-12-24
146 WONDER FACE FUND MANAGEMENT COMPANY LIMITED 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-02-17
147 ABN AMRO Clearing Hong Kong Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-03-03
148 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00
149 BNP PARIBAS DEALING SERVICES ASIA LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2010-11-03
150 BROOKE CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-01
151 CELESTIAL COMMODITIES LIMITED 0 85 85 0 1 1 0 -84 -84 100.00 100.00 2005-01-25
152 CES International Commodities (HK) Limited 1 2 3 1 0 1 0 -2 -2 66.67 0.00 2005-03-07
153 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
154 Greentech Technology Asset Management Company Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-20
155 HKFN WEALTH STRATEGY LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-11
156 IMPAC ASSET MANAGEMENT (HK) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2017-01-03
157 JAGUAR INVESTMENT SERVICES, LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2015-06-22
158 MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2005-02-02
159 Nomura Asia Investment (Hong Kong) Limited 1 50 51 1 0 1 0 -50 -50 98.04 0.00 2005-01-25
160 PACIFIC GROUP LIMITED (THE) 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-24
161 Quam Asset Management Limited (b1983-06-28) 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-28
162 RBS Asia Futures Limited 2 5 7 1 0 1 -1 -5 -6 71.43 0.00 2005-01-25
163 REGENT FINANCIAL SERVICES LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-08
164 RICHMOND ASSET MANAGEMENT LIMITED (HK) 1 2 3 1 0 1 0 -2 -2 66.67 0.00 2005-01-13
165 SOFAER GLOBAL RESEARCH (HK) LIMITED 0 2 2 0 1 1 0 -1 -1 100.00 100.00 2011-01-18
166 STOCKWELL COMMODITIES LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2005-02-22
167 VC INTERNATIONAL TRADING LIMITED 1 34 35 1 0 1 0 -34 -34 97.14 0.00 2022-10-27
168 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
169 WELLCHAMP CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-01-31
170 WINNINGTON CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
171 WTV GLOBAL INVESTMENTS MANAGEMENT LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-02-01
172 AISANCE ASSET MANAGEMENT LIMITED 0 26 26 0 0 0 0 -26 -26 100.00 - 2004-09-02
173 Arta Global Futures Limited 2 3 5 0 0 0 -2 -3 -5 60.00 - 2004-11-19
174 BARCLAYS CAPITAL FUTURES HONG KONG LIMITED 0 3 3 0 0 0 0 -3 -3 100.00 - 2004-12-28
175 BERICH FUTURES (H.K.) COMPANY LIMITED 0 1 1 0 0 0 0 -1 -1 100.00 - 2004-07-06
176 BNP PARIBAS FUTURES (HONG KONG) LIMITED 1 6 7 0 0 0 -1 -6 -7 85.71 - 2004-11-29
177 BNP PARIBAS PEREGRINE FUTURES LIMITED 1 33 34 0 0 0 -1 -33 -34 97.06 - 2004-05-17
178 BUSINESS FUTURES LIMITED 0 1 1 0 0 0 0 -1 -1 100.00 - 2004-06-11
179 CHIEF COMMODITIES LIMITED 2 9 11 0 0 0 -2 -9 -11 81.82 - 2004-10-15
180 China Enterprise Securities Company Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-11-10
181 CORPORATE COMMODITIES LIMITED 3 23 26 0 0 0 -3 -23 -26 88.46 - 2004-02-18
182 CSC FUTURES (HK) LIMITED 0 12 12 0 0 0 0 -12 -12 100.00 - 2004-03-29
183 CSI Corporate Finance (HK) Limited 1 6 7 0 0 0 -1 -6 -7 85.71 - 2004-07-30
184 DBS VICKERS FUTURES (HONG KONG) LIMITED 0 1 1 0 0 0 0 -1 -1 100.00 - 2004-06-30
185 EAST ASIA FUTURES LIMITED 1 5 6 0 0 0 -1 -5 -6 83.33 - 2004-02-02
186 EK INVESTMENT MANAGEMENT LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2003-12-03
187 ENLIGHTEN FUTURES LIMITED 0 1 1 0 0 0 0 -1 -1 100.00 - 2004-11-30
188 EQ INVESTOR SERVICES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-12-31
189 FAIR EAGLE FUTURES COMPANY LIMITED 0 1 1 0 0 0 0 -1 -1 100.00 - 2005-01-06
190 Finet Securities Limited 2 1 3 0 0 0 -2 -1 -3 33.33 - 2004-09-23
191 GAIN ASSET MANAGEMENT LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2003-12-17
192 Ge Shang Investment (Hong Kong) Limited 0 1 1 0 0 0 0 -1 -1 100.00 - 2004-11-05
193 GM FINANCIAL FORMULA LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-09-09
194 GRAND ALLIANCE ASSET MANAGEMENT LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2004-09-02
195 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 17 19 0 0 0 -2 -17 -19 89.47 - 2004-02-25
196 HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-07-07
197 HONG KONG INTERNATIONAL FUTURES LIMITED 2 13 15 0 0 0 -2 -13 -15 86.67 - 2004-07-20
198 HSBC BROKING FUTURES (ASIA) LIMITED 3 95 98 0 0 0 -3 -95 -98 96.94 - 2004-09-10
199 HSBC BROKING FUTURES (HONG KONG) LIMITED 3 41 44 0 0 0 -3 -41 -44 93.18 - 2004-09-10
200 HSBC Corporate Finance (Hong Kong) Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-01-25
201 HSBC STRUCTURED FUNDS (ASIA) LIMITED 1 4 5 0 0 0 -1 -4 -5 80.00 - 2004-02-10
202 ICHIYOSHI INTERNATIONAL (H.K.) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-12-01
203 Interactive Brokers LLC 0 1 1 0 0 0 0 -1 -1 100.00 - 2004-12-22
204 INTERCHINA FUTURES LIMITED 2 8 10 0 0 0 -2 -8 -10 80.00 - 2004-01-14
205 J.P. MORGAN FUTURES HONG KONG LIMITED 3 17 20 0 0 0 -3 -17 -20 85.00 - 2003-12-08
206 KARL-THOMSON COMMODITIES COMPANY LIMITED 2 13 15 0 0 0 -2 -13 -15 86.67 - 2004-11-26
207 KING FOOK COMMODITIES COMPANY LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-03-07
208 KINGSWAY UNIT TRUST MANAGERS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-02-13
209 KuCoin Commodity Futures Limited 2 3 5 0 0 0 -2 -3 -5 60.00 - 2004-11-01
210 Nerico Brothers Limited (HK) 2 2 4 0 0 0 -2 -2 -4 50.00 - 2004-08-02
211 NEW TREND FUTURES LIMITED 3 18 21 0 0 0 -3 -18 -21 85.71 - 2004-10-25
212 Newedge Broker Limited 0 2 2 0 0 0 0 -2 -2 100.00 - 2004-10-08
213 Planetree Futures Limited 2 4 6 0 0 0 -2 -4 -6 66.67 - 2004-09-28
214 PO SANG SECURITIES LIMITED 0 9 9 0 0 0 0 -9 -9 100.00 - 2004-01-14
215 PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-10-18
216 PRUDENCE FUTURES LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2004-04-16
217 REXCAPITAL FUTURES LIMITED 1 28 29 0 0 0 -1 -28 -29 96.55 - 2004-11-30
218 SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-09-13
219 SHUN LOONG FUTURES LIMITED 1 26 27 0 0 0 -1 -26 -27 96.30 - 2005-01-13
220 SIMPLEX ASSET MANAGEMENT (HK) COMPANY LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-12-01
221 SIU YIP COMMODITY LIMITED 3 4 7 0 0 0 -3 -4 -7 57.14 - 2004-11-26
222 Success Futures and Foreign Exchange Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2004-08-31
223 Sunwah Kingsway Leasing and Finance Limited 2 6 8 0 0 0 -2 -6 -8 75.00 - 2004-06-24
224 T Y International 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-05-11
225 TAI YIP COMMODITIES & FUTURES LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2004-11-19
226 TAK FUNG COMMODITIES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-03-31
227 Tokio Marine Investment Services, Limited 0 1 1 0 0 0 0 -1 -1 100.00 - 2005-01-11
228 TOPMORE COMMODITIES LIMITED 3 8 11 0 0 0 -3 -8 -11 72.73 - 2004-11-22
229 Vantum Securities and Futures Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2004-09-16
230 VC International Asset Management Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-01-19
231 YICKO FUTURES LIMITED 1 7 8 0 0 0 -1 -7 -8 87.50 - 2004-06-01
Average 1.63 10.04 11.67 1.87 3.98 5.85 86.02 68.00

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