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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2004-02-28 2005-02-28 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 90 92 2 78 80 0 -12 -12 97.83 97.50
2 JPMorgan Asset Management (Asia Pacific) Limited 3 24 27 2 25 27 -1 1 0 88.89 92.59
3 J.P. MORGAN BROKING (HONG KONG) LIMITED 3 14 17 4 20 24 1 6 7 82.35 83.33 2003-12-02
4 GET NICE FUTURES COMPANY LIMITED 1 19 20 1 21 22 0 2 2 95.00 95.45
5 RBC FUTURES SERVICES (ASIA) LIMITED 1 19 20 3 18 21 2 -1 1 95.00 85.71 2005-10-28
6 RBC INVESTMENT SERVICES (ASIA) LIMITED 0 0 0 3 18 21 3 18 21 - 85.71 2004-10-14
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 2 15 17 2 16 18 0 1 1 88.24 88.89
8 ADMIS Hong Kong Limited 3 13 16 3 12 15 0 -1 -1 81.25 80.00
9 CHARLES SCHWAB, HONG KONG, LIMITED 3 5 8 3 10 13 0 5 5 62.50 76.92 2016-08-31
10 NOMURA INTERNATIONAL (HONG KONG) LIMITED 1 36 37 2 10 12 1 -26 -25 97.30 83.33
11 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 4 9 13 4 7 11 0 -2 -2 69.23 63.64
12 HANG SENG FUTURES LIMITED 4 9 13 3 8 11 -1 -1 -2 69.23 72.73 2017-11-17
13 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 13 15 1 9 10 -1 -4 -5 86.67 90.00 2018-12-31
14 BARING ASSET MANAGEMENT (ASIA) LIMITED 3 8 11 5 4 9 2 -4 -2 72.73 44.44
15 HSBC Global Asset Management (Hong Kong) Limited 2 8 10 4 5 9 2 -3 -1 80.00 55.56
16 Manulife Investment Management (Hong Kong) Limited 2 7 9 2 7 9 0 0 0 77.78 77.78
17 Tyric Capital Limited 2 3 5 3 6 9 1 3 4 60.00 66.67 2003-11-13
18 BEAR STEARNS HONG KONG LIMITED 1 13 14 1 7 8 0 -6 -6 92.86 87.50 2009-05-14
19 GOLDMAN SACHS (ASIA) L.L.C. 3 3 6 3 5 8 0 2 2 50.00 62.50
20 Legg Mason Asset Management Hong Kong Limited 1 7 8 2 6 8 1 -1 0 87.50 75.00 2006-09-25
21 Legg Mason International Equities (Hong Kong) Limited 1 5 6 2 6 8 1 1 2 83.33 75.00 2006-09-25
22 AlTi Wealth Management (Hong Kong) Limited 0 0 0 2 5 7 2 5 7 - 71.43 2004-05-11
23 BOCI COMMODITIES & FUTURES LIMITED 0 0 0 4 3 7 4 3 7 - 42.86 2004-11-17
24 GAM HONG KONG LIMITED 2 4 6 3 4 7 1 0 1 66.67 57.14 2013-06-19
25 METRO CAPITAL FUTURES LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2014-11-26
26 PEACE TOWN FUTURES LIMITED 4 4 8 4 3 7 0 -1 -1 50.00 42.86 2012-09-27
27 RG ASSET MANAGEMENT COMPANY LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14 2013-11-25
28 ROCTEC FUTURES TRADING COMPANY LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2005-01-21
29 Standard Commodities (Asia) Limited 1 2 3 1 6 7 0 4 4 66.67 85.71 2008-05-16
30 AllianceBernstein Hong Kong Limited 3 3 6 4 2 6 1 -1 0 50.00 33.33
31 Allianz Global Investors Hong Kong Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2007-06-28
32 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2018-09-21
33 PI INVESTMENT MANAGEMENT LIMITED 3 0 3 3 3 6 0 3 3 0.00 50.00 2007-09-28
34 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67 2012-01-12
35 WFM Asia (HK) Limited 1 2 3 2 4 6 1 2 3 66.67 66.67 2013-11-05
36 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 3 7 10 2 4 6 -1 -3 -4 70.00 66.67 2016-04-19
37 CLSA FUTURES LIMITED 2 22 24 2 3 5 0 -19 -19 91.67 60.00 2016-06-02
38 DELTA ASIA FINANCIAL FUTURES LIMITED 1 10 11 2 3 5 1 -7 -6 90.91 60.00
39 GINGER CAPITAL MANAGEMENT LIMITED 0 0 0 3 2 5 3 2 5 - 40.00 2004-11-18 2009-05-29
40 HAITONG INTERNATIONAL FUTURES LIMITED 4 0 4 5 0 5 1 0 1 0.00 0.00
41 MUSHK Limited 2 5 7 2 3 5 0 -2 -2 71.43 60.00 2011-06-01
42 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
43 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00 2012-06-25
44 BEA Union Investment Management Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2022-07-12
45 CIBC Global Asset Management (Asia) Limited 1 3 4 1 3 4 0 0 0 75.00 75.00 2006-01-10
46 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 1 2 3 2 2 4 1 0 1 66.67 50.00 2007-07-12
47 FIL Investment Advisors 1 1 2 2 2 4 1 1 2 50.00 50.00
48 FIL Investment Management (Hong Kong) Limited 1 1 2 2 2 4 1 1 2 50.00 50.00
49 First Sentier Investors (Hong Kong) Limited 1 2 3 2 2 4 1 0 1 66.67 50.00 2006-08-29
50 FIRST STATE (HONG KONG) LLC 1 2 3 2 2 4 1 0 1 66.67 50.00 2006-08-29
51 Funderstone Futures Limited 4 28 32 1 3 4 -3 -25 -28 87.50 75.00
52 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 3 6 2 2 4 -1 -1 -2 50.00 50.00
53 HSBC Global Asset Management Holdings (Bahamas) Limited 2 0 2 4 0 4 2 0 2 0.00 0.00 2020-06-02
54 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 0 2 4 0 4 2 0 2 0.00 0.00
55 KGI FUTURES (HONG KONG) LIMITED 3 111 114 3 1 4 0 -110 -110 97.37 25.00
56 Mackenzie Investments Asia Limited 3 0 3 2 2 4 -1 2 1 0.00 50.00 2006-11-14
57 MAGUSTA FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2013-02-26
58 TC Investment Management (Asia) Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2008-02-14
59 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
60 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-02-09
61 AD Capital Management (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2004-09-08
62 AKTIS CAPITAL ADVISORY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2003-11-29
63 ASIA ABSOLUTE ADVISORS LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2004-08-19 2007-01-25
64 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2015-06-15
65 AXIOM INVESTMENT MANAGEMENT LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33 2014-05-07
66 BALLINGAL INVESTMENT ADVISORS LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2004-08-13
67 BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2007-01-31
68 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33 2011-03-23
69 Duncan Futures Limited 3 21 24 2 1 3 -1 -20 -21 87.50 33.33 2005-03-08
70 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
71 FIRST SHANGHAI FUTURES LIMITED 2 15 17 2 1 3 0 -14 -14 88.24 33.33
72 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 1 1 2 2 1 3 1 0 1 50.00 33.33
73 HAMON ASSET MANAGEMENT LIMITED 1 2 3 2 1 3 1 -1 0 66.67 33.33
74 INVESCO HONG KONG LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33
75 LIM ADVISORS LIMITED 1 1 2 1 2 3 0 1 1 50.00 66.67 2021-02-17
76 Metaverse Securities Limited (HK) 2 0 2 2 1 3 0 1 1 0.00 33.33
77 OCP Asia (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2004-09-03 2022-06-13
78 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
79 PFP Capital Limited 1 2 3 2 1 3 1 -1 0 66.67 33.33
80 PineBridge Investments Hong Kong Limited 1 2 3 1 2 3 0 0 0 66.67 66.67 2005-03-15
81 SATTVA INVESTMENT ADVISORS LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00 2003-10-30 2015-04-22
82 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
83 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-07-30
84 AFG CAPITAL ASSETS LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2004-09-01 2006-07-28
85 AP Asset Management (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2004-08-26 2013-12-04
86 ASIA DEBT MANAGEMENT HONG KONG LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2005-06-29
87 AXA Investment Managers Asia Limited 1 0 1 2 0 2 1 0 1 0.00 0.00 2015-06-15
88 BLUE POOL CAPITAL LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2004-11-10 2015-12-01
89 BNP PARIBAS DEALING SERVICES ASIA LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2010-11-03
90 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
91 CES Commodities (HK) Limited 1 4 5 1 1 2 0 -3 -3 80.00 50.00 2005-03-08
92 CHAOS INTERNATIONAL FINANCIAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-06-10
93 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 14 16 2 0 2 0 -14 -14 87.50 0.00
94 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
95 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
96 CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED 2 76 78 0 2 2 -2 -74 -76 97.44 100.00 2004-10-25
97 DEUTSCHE SECURITIES ASIA LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2004-01-08 2020-02-04
98 EMPEROR FUTURES LIMITED 2 22 24 2 0 2 0 -22 -22 91.67 0.00
99 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
100 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2024-03-21
101 GOLDMAN SACHS FUTURES (ASIA) LIMITED 0 73 73 2 0 2 2 -73 -71 100.00 0.00 2016-10-10
102 HSBC GUYERZELLER FAR EAST LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2005-02-02 2009-08-31
103 ICBC Asset Management (Global) Company Limited 1 1 2 1 1 2 0 0 0 50.00 50.00
104 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
105 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
106 Oasis Management (Hong Kong) 0 0 0 2 0 2 2 0 2 - 0.00 2004-09-14
107 OVERLOOK INVESTMENTS LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2010-01-05
108 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2008-09-05
109 PineBridge Investments Asia Limited 1 1 2 1 1 2 0 0 0 50.00 50.00 2005-03-15
110 PRUDENTIAL INDEX TRADING COMPANY LIMITED 1 19 20 1 1 2 0 -18 -18 95.00 50.00
111 SAGE ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-10-13
112 SBI China Capital Commodities Limited 1 2 3 1 1 2 0 -1 -1 66.67 50.00 2013-07-16
113 SINOPAC FUTURES (ASIA) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2014-09-25
114 SKY WARD GLOBAL MANAGEMENT LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2012-07-10
115 STRATEGIC OPTIONS INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-12-05
116 VALUE PARTNERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
117 VC INTERNATIONAL TRADING LIMITED 1 32 33 2 0 2 1 -32 -31 96.97 0.00 2022-10-27
118 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00
119 ABN AMRO Clearing (Futures) Hong Kong Limited 1 5 6 1 0 1 0 -5 -5 83.33 0.00 2005-03-03
120 ABN AMRO Clearing Hong Kong Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-03-03
121 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00
122 CES International Commodities (HK) Limited 1 0 1 1 0 1 0 0 0 0.00 0.00 2005-03-07
123 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
124 IMPAC ASSET MANAGEMENT (HK) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2017-01-03
125 JAGUAR INVESTMENT SERVICES, LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2015-06-22
126 MERRILL LYNCH FUTURES (HONG KONG) LIMITED 1 70 71 0 1 1 -1 -69 -70 98.59 100.00 2005-01-25
127 SOFAER GLOBAL RESEARCH (HK) LIMITED 0 2 2 0 1 1 0 -1 -1 100.00 100.00 2011-01-18
128 STANDARD & POOR'S, LLC 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2005-03-30
129 Well Link International Securities Limited 3 15 18 0 1 1 -3 -14 -17 83.33 100.00 2005-02-14
130 WINNINGTON CAPITAL LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
131 AISANCE ASSET MANAGEMENT LIMITED 0 26 26 0 0 0 0 -26 -26 100.00 - 2004-09-02
132 ALPHA FUTURES COMPANY LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2005-01-24
133 Arta Global Futures Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2004-11-19
134 BARCLAYS CAPITAL FUTURES HONG KONG LIMITED 0 3 3 0 0 0 0 -3 -3 100.00 - 2004-12-28
135 BNP PARIBAS FUTURES (HONG KONG) LIMITED 1 6 7 0 0 0 -1 -6 -7 85.71 - 2004-11-29
136 BNP PARIBAS PEREGRINE FUTURES LIMITED 1 3 4 0 0 0 -1 -3 -4 75.00 - 2004-05-17
137 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2004-12-03
138 BROOKE CAPITAL LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-01
139 CELESTIAL COMMODITIES LIMITED 0 78 78 0 0 0 0 -78 -78 100.00 - 2005-01-25
140 CHIEF COMMODITIES LIMITED 2 9 11 0 0 0 -2 -9 -11 81.82 - 2004-10-15
141 China Enterprise Securities Company Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-11-10
142 CHINA INTERNATIONAL CAPITAL LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-28
143 CHONG HING COMMODITIES AND FUTURES LIMITED 4 3 7 0 0 0 -4 -3 -7 42.86 - 2005-01-19
144 CHOW SANG SANG FUTURES LIMITED 2 26 28 0 0 0 -2 -26 -28 92.86 - 2004-11-12
145 CMB INTERNATIONAL FUTURES LIMITED 2 8 10 0 0 0 -2 -8 -10 80.00 - 2004-11-26
146 Credit Suisse Futures (Hong Kong) Limited 0 7 7 0 0 0 0 -7 -7 100.00 - 2005-01-03
147 CSC FUTURES (HK) LIMITED 0 11 11 0 0 0 0 -11 -11 100.00 - 2004-03-29
148 CSI Corporate Finance (HK) Limited 2 4 6 0 0 0 -2 -4 -6 66.67 - 2004-07-30
149 DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED 1 9 10 0 0 0 -1 -9 -10 90.00 - 2005-01-25
150 FAIR EAGLE FUTURES COMPANY LIMITED 0 1 1 0 0 0 0 -1 -1 100.00 - 2005-01-06
151 Finet Securities Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-09-23
152 GM FINANCIAL FORMULA LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-09-09
153 GRAND ALLIANCE ASSET MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-09-02
154 Greentech Technology Asset Management Company Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-01-20
155 HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-07-07
156 HKFN WEALTH STRATEGY LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-01-11
157 HONG KONG INTERNATIONAL FUTURES LIMITED 1 2 3 0 0 0 -1 -2 -3 66.67 - 2004-07-20
158 HSBC BROKING FUTURES (ASIA) LIMITED 3 91 94 0 0 0 -3 -91 -94 96.81 - 2004-09-10
159 HSBC BROKING FUTURES (HONG KONG) LIMITED 3 35 38 0 0 0 -3 -35 -38 92.11 - 2004-09-10
160 ICHIYOSHI INTERNATIONAL (H.K.) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-12-01
161 Interactive Brokers LLC 0 1 1 0 0 0 0 -1 -1 100.00 - 2004-12-22
162 JEFFERIES BACHE (HONG KONG) LIMITED 2 64 66 0 0 0 -2 -64 -66 96.97 - 2004-12-10
163 KAISER FUTURES LIMITED 2 22 24 0 0 0 -2 -22 -24 91.67 - 2005-02-18
164 KARL-THOMSON COMMODITIES COMPANY LIMITED 2 13 15 0 0 0 -2 -13 -15 86.67 - 2004-11-26
165 KING FOOK COMMODITIES COMPANY LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-03-07
166 KINGSTON FUTURES LIMITED 2 15 17 0 0 0 -2 -15 -17 88.24 - 2005-01-24
167 KuCoin Commodity Futures Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2004-11-01
168 MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-02-02
169 Nerico Brothers Limited (HK) 2 2 4 0 0 0 -2 -2 -4 50.00 - 2004-08-02
170 NEW TREND FUTURES LIMITED 3 20 23 0 0 0 -3 -20 -23 86.96 - 2004-10-25
171 Nomura Asia Investment (Hong Kong) Limited 1 49 50 0 0 0 -1 -49 -50 98.00 - 2005-01-25
172 Nomura Asset Management Hong Kong Limited 2 1 3 0 0 0 -2 -1 -3 33.33 - 2004-12-16
173 OKACHI (HONG KONG) COMPANY LIMITED 1 5 6 0 0 0 -1 -5 -6 83.33 - 2005-02-07
174 PACIFIC GROUP LIMITED (THE) 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-24
175 PGIM (Hong Kong) Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-02-04
176 PHOENIX CAPITAL FUTURES LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2005-02-01
177 Planetree Futures Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-09-28
178 PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-10-18
179 PRUDENCE FUTURES LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2004-04-16
180 Quam Asset Management Limited (b1983-06-28) 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-28
181 QUAM FUTURES LIMITED 3 5 8 0 0 0 -3 -5 -8 62.50 - 2005-02-28
182 RBS Asia Futures Limited 2 5 7 0 0 0 -2 -5 -7 71.43 - 2005-01-25
183 REGENT FINANCIAL SERVICES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-08
184 REXCAPITAL FUTURES LIMITED 1 25 26 0 0 0 -1 -25 -26 96.15 - 2004-11-30
185 RICHMOND ASSET MANAGEMENT LIMITED (HK) 1 2 3 0 0 0 -1 -2 -3 66.67 - 2005-01-13
186 SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-09-13
187 SHENWAN HONGYUAN FUTURES (H.K.) LIMITED 1 46 47 0 0 0 -1 -46 -47 97.87 - 2004-12-08
188 SHUN LOONG FUTURES LIMITED 1 22 23 0 0 0 -1 -22 -23 95.65 - 2005-01-13
189 SIU YIP COMMODITY LIMITED 3 4 7 0 0 0 -3 -4 -7 57.14 - 2004-11-26
190 SOUTH CHINA COMMODITIES LIMITED 3 3 6 0 0 0 -3 -3 -6 50.00 - 2005-01-31
191 SPS COMMODITIES LIMITED 2 7 9 0 0 0 -2 -7 -9 77.78 - 2005-01-20
192 STOCKWELL COMMODITIES LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2005-02-22
193 Success Futures and Foreign Exchange Limited 1 2 3 0 0 0 -1 -2 -3 66.67 - 2004-08-31
194 Sumitomo Mitsui DS Asset Management (Hong Kong) Limited 1 1 2 0 0 0 -1 -1 -2 50.00 - 2005-01-25
195 SUN'S FUTURE LIMITED 3 6 9 0 0 0 -3 -6 -9 66.67 - 2005-02-18
196 Sunwah Kingsway Leasing and Finance Limited 1 1 2 0 0 0 -1 -1 -2 50.00 - 2004-06-24
197 T Y International 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-05-11
198 TAI YIP COMMODITIES & FUTURES LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2004-11-19
199 TAIFAIR FUTURES LIMITED 1 3 4 0 0 0 -1 -3 -4 75.00 - 2005-02-23
200 TAK FUNG COMMODITIES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-03-31
201 TOPMORE COMMODITIES LIMITED 3 2 5 0 0 0 -3 -2 -5 40.00 - 2004-11-22
202 UBS DERIVATIVES HONG KONG LIMITED 1 7 8 0 0 0 -1 -7 -8 87.50 - 2005-02-07
203 UBS SECURITIES ASIA LIMITED 1 13 14 0 0 0 -1 -13 -14 92.86 - 2005-02-04
204 UNI-ALPHA FUTURES LIMITED 1 4 5 0 0 0 -1 -4 -5 80.00 - 2004-08-30
205 Vantum Securities and Futures Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2004-09-16
206 VC International Asset Management Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-01-19
207 Vision Capital Investment Management Limited 2 1 3 0 0 0 -2 -1 -3 33.33 - 2003-12-17 2004-07-30
208 WELLAM INVESTMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-12-24
209 WELLCHAMP CAPITAL LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-01-31
210 WONDER FACE FUND MANAGEMENT COMPANY LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2005-02-17
211 WTV GLOBAL INVESTMENTS MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-01
212 YICKO FUTURES LIMITED 1 7 8 0 0 0 -1 -7 -8 87.50 - 2004-06-01
Average 1.70 8.40 10.10 2.08 3.33 5.42 83.17 61.51

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