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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2004-04-30 2005-04-30 Change Rep v total
Row Name RO Rep Total RO Rep Total RO Rep Total Start
%
End
%
Licence
start
Licence
end
1 JPMorgan Asset Management (Asia Pacific) Limited 3 24 27 2 24 26 -1 0 -1 88.89 92.31
2 J.P. MORGAN BROKING (HONG KONG) LIMITED 4 14 18 3 22 25 -1 8 7 77.78 88.00 2003-12-02
3 GET NICE FUTURES COMPANY LIMITED 2 18 20 1 20 21 -1 2 1 90.00 95.24
4 RBC FUTURES SERVICES (ASIA) LIMITED 1 19 20 4 14 18 3 -5 -2 95.00 77.78 2005-10-28
5 RBC INVESTMENT SERVICES (ASIA) LIMITED 0 0 0 4 14 18 4 14 18 - 77.78 2004-10-14
6 STATE STREET GLOBAL ADVISORS ASIA LIMITED 2 15 17 2 16 18 0 1 1 88.24 88.89
7 CHARLES SCHWAB, HONG KONG, LIMITED 3 5 8 3 10 13 0 5 5 62.50 76.92 2016-08-31
8 PHILLIP COMMODITIES (H.K.) LIMITED 2 85 87 2 11 13 0 -74 -74 97.70 84.62
9 NOMURA INTERNATIONAL (HONG KONG) LIMITED 1 36 37 4 8 12 3 -28 -25 97.30 66.67
10 HANG SENG FUTURES LIMITED 4 8 12 3 8 11 -1 0 -1 66.67 72.73 2017-11-17
11 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 13 15 2 8 10 0 -5 -5 86.67 80.00 2018-12-31
12 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 4 10 14 3 7 10 -1 -3 -4 71.43 70.00
13 Tyric Capital Limited 2 5 7 3 7 10 1 2 3 71.43 70.00 2003-11-13
14 BARING ASSET MANAGEMENT (ASIA) LIMITED 3 8 11 5 4 9 2 -4 -2 72.73 44.44
15 Manulife Investment Management (Hong Kong) Limited 2 7 9 4 5 9 2 -2 0 77.78 55.56
16 BEAR STEARNS HONG KONG LIMITED 1 13 14 1 7 8 0 -6 -6 92.86 87.50 2009-05-14
17 GOLDMAN SACHS (ASIA) L.L.C. 3 3 6 3 5 8 0 2 2 50.00 62.50
18 HSBC Global Asset Management (Hong Kong) Limited 3 7 10 4 4 8 1 -3 -2 70.00 50.00
19 Legg Mason Asset Management Hong Kong Limited 1 5 6 2 6 8 1 1 2 83.33 75.00 2006-09-25
20 Legg Mason International Equities (Hong Kong) Limited 1 4 5 2 6 8 1 2 3 80.00 75.00 2006-09-25
21 AllianceBernstein Hong Kong Limited 3 2 5 4 3 7 1 1 2 40.00 42.86
22 BOCI COMMODITIES & FUTURES LIMITED 0 0 0 4 3 7 4 3 7 - 42.86 2004-11-17
23 GAM HONG KONG LIMITED 2 3 5 3 4 7 1 1 2 60.00 57.14 2013-06-19
24 METRO CAPITAL FUTURES LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2014-11-26
25 PI INVESTMENT MANAGEMENT LIMITED 3 0 3 3 4 7 0 4 4 0.00 57.14 2007-09-28
26 RG ASSET MANAGEMENT COMPANY LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14 2013-11-25
27 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 3 5 2 5 7 0 2 2 60.00 71.43 2012-01-12
28 Standard Commodities (Asia) Limited 1 2 3 1 6 7 0 4 4 66.67 85.71 2008-05-16
29 Allianz Global Investors Hong Kong Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2007-06-28
30 AlTi Wealth Management (Hong Kong) Limited 0 0 0 2 4 6 2 4 6 - 66.67 2004-05-11
31 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2018-09-21
32 PEACE TOWN FUTURES LIMITED 4 3 7 4 2 6 0 -1 -1 42.86 33.33 2012-09-27
33 WFM Asia (HK) Limited 1 2 3 2 4 6 1 2 3 66.67 66.67 2013-11-05
34 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 3 8 11 2 4 6 -1 -4 -5 72.73 66.67 2016-04-19
35 CLSA FUTURES LIMITED 2 8 10 2 3 5 0 -5 -5 80.00 60.00 2016-06-02
36 DELTA ASIA FINANCIAL FUTURES LIMITED 1 10 11 2 3 5 1 -7 -6 90.91 60.00
37 GINGER CAPITAL MANAGEMENT LIMITED 0 0 0 3 2 5 3 2 5 - 40.00 2004-11-18 2009-05-29
38 HAITONG INTERNATIONAL FUTURES LIMITED 5 0 5 5 0 5 0 0 0 0.00 0.00
39 MUSHK Limited 2 4 6 4 1 5 2 -3 -1 66.67 20.00 2011-06-01
40 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
41 ADMIS Hong Kong Limited 3 14 17 3 1 4 0 -13 -13 82.35 25.00
42 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00 2012-06-25
43 AXA Investment Managers Asia Limited 1 0 1 3 1 4 2 1 3 0.00 25.00 2015-06-15
44 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2015-06-15
45 BEA Union Investment Management Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2022-07-12
46 CIBC Global Asset Management (Asia) Limited 1 3 4 1 3 4 0 0 0 75.00 75.00 2006-01-10
47 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 1 2 3 2 2 4 1 0 1 66.67 50.00 2007-07-12
48 FIL Investment Advisors 1 1 2 2 2 4 1 1 2 50.00 50.00
49 FIL Investment Management (Hong Kong) Limited 1 1 2 2 2 4 1 1 2 50.00 50.00
50 First Sentier Investors (Hong Kong) Limited 1 3 4 2 2 4 1 -1 0 75.00 50.00 2006-08-29
51 FIRST STATE (HONG KONG) LLC 1 3 4 2 2 4 1 -1 0 75.00 50.00 2006-08-29
52 Funderstone Futures Limited 4 28 32 1 3 4 -3 -25 -28 87.50 75.00
53 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 2 5 2 2 4 -1 0 -1 40.00 50.00
54 HSBC Global Asset Management Holdings (Bahamas) Limited 3 0 3 4 0 4 1 0 1 0.00 0.00 2020-06-02
55 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 3 0 3 4 0 4 1 0 1 0.00 0.00
56 INVESCO HONG KONG LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
57 Mackenzie Investments Asia Limited 3 0 3 2 2 4 -1 2 1 0.00 50.00 2006-11-14
58 MAGUSTA FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2013-02-26
59 ROCTEC FUTURES TRADING COMPANY LIMITED 2 5 7 2 2 4 0 -3 -3 71.43 50.00 2005-01-21
60 SOFAER GLOBAL RESEARCH (HK) LIMITED 0 2 2 2 2 4 2 0 2 100.00 50.00 2011-01-18
61 TC Investment Management (Asia) Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2008-02-14
62 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
63 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-02-09
64 AD Capital Management (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2004-09-08
65 AKTIS CAPITAL ADVISORY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2003-11-29
66 ASIA ABSOLUTE ADVISORS LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2004-08-19 2007-01-25
67 AXIOM INVESTMENT MANAGEMENT LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33 2014-05-07
68 BALLINGAL INVESTMENT ADVISORS LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2004-08-13
69 BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2007-01-31
70 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 1 1 2 2 1 3 1 0 1 50.00 33.33 2011-03-23
71 ELLIOTT ADVISORS (HK) LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2005-03-08 2022-03-16
72 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
73 FIRST SHANGHAI FUTURES LIMITED 2 15 17 2 1 3 0 -14 -14 88.24 33.33
74 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 1 1 2 2 1 3 1 0 1 50.00 33.33
75 HAMON ASSET MANAGEMENT LIMITED 1 2 3 2 1 3 1 -1 0 66.67 33.33
76 HSBC GUYERZELLER FAR EAST LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2005-02-02 2009-08-31
77 KGI FUTURES (HONG KONG) LIMITED 3 111 114 2 1 3 -1 -110 -111 97.37 33.33
78 LIM ADVISORS LIMITED 1 1 2 1 2 3 0 1 1 50.00 66.67 2021-02-17
79 Metaverse Securities Limited (HK) 2 0 2 2 1 3 0 1 1 0.00 33.33
80 OCP Asia (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2004-09-03 2022-06-13
81 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
82 PFP Capital Limited 1 2 3 2 1 3 1 -1 0 66.67 33.33
83 SATTVA INVESTMENT ADVISORS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2003-10-30 2015-04-22
84 SBI China Capital Commodities Limited 1 2 3 2 1 3 1 -1 0 66.67 33.33 2013-07-16
85 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-07-30
86 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
87 AFG CAPITAL ASSETS LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2004-09-01 2006-07-28
88 AP Asset Management (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2004-08-26 2013-12-04
89 BLUE POOL CAPITAL LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2004-11-10 2015-12-01
90 BNP PARIBAS DEALING SERVICES ASIA LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2010-11-03
91 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
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 13 15 2 0 2 0 -13 -13 86.67 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 DEUTSCHE SECURITIES ASIA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-01-08 2020-02-04
97 EMPEROR FUTURES LIMITED 2 21 23 2 0 2 0 -21 -21 91.30 0.00
98 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
99 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 1 1 2 1 1 2 0 0 0 50.00 50.00 2024-03-21
100 GOLDMAN SACHS FUTURES (ASIA) LIMITED 0 71 71 2 0 2 2 -71 -69 100.00 0.00 2016-10-10
101 ICBC Asset Management (Global) Company Limited 1 1 2 1 1 2 0 0 0 50.00 50.00
102 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
103 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
104 Oasis Management (Hong Kong) 0 0 0 2 0 2 2 0 2 - 0.00 2004-09-14
105 OVERLOOK INVESTMENTS LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2010-01-05
106 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-09-05
107 PIPER JAFFRAY ASIA ASSET MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2005-03-09 2008-10-08
108 PRUDENTIAL INDEX TRADING COMPANY LIMITED 1 18 19 1 1 2 0 -17 -17 94.74 50.00
109 SAGE ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-10-13
110 SINOPAC FUTURES (ASIA) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-09-25
111 SKY WARD GLOBAL MANAGEMENT LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2012-07-10
112 STRATEGIC OPTIONS INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-12-05
113 VALUE PARTNERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
114 VC INTERNATIONAL TRADING LIMITED 1 29 30 2 0 2 1 -29 -28 96.67 0.00 2022-10-27
115 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00
116 WINNINGTON CAPITAL LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00
117 Yuanta Asia Investment (Hong Kong) Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2003-08-13 2013-11-01
118 ASIA DEBT MANAGEMENT HONG KONG LIMITED 1 2 3 1 0 1 0 -2 -2 66.67 0.00 2005-06-29
119 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
120 IMPAC ASSET MANAGEMENT (HK) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2017-01-03
121 JAGUAR INVESTMENT SERVICES, LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2015-06-22
122 ABN AMRO Clearing (Futures) Hong Kong Limited 1 5 6 0 0 0 -1 -5 -6 83.33 - 2005-03-03
123 ABN AMRO Clearing Hong Kong Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-03-03
124 AISANCE ASSET MANAGEMENT LIMITED 0 26 26 0 0 0 0 -26 -26 100.00 - 2004-09-02
125 ALPHA FUTURES COMPANY LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2005-01-24
126 Arta Global Futures Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2004-11-19
127 BARCLAYS CAPITAL FUTURES HONG KONG LIMITED 0 3 3 0 0 0 0 -3 -3 100.00 - 2004-12-28
128 BNP PARIBAS FUTURES (HONG KONG) LIMITED 1 5 6 0 0 0 -1 -5 -6 83.33 - 2004-11-29
129 BNP PARIBAS PEREGRINE FUTURES LIMITED 0 2 2 0 0 0 0 -2 -2 100.00 - 2004-05-17
130 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2004-12-03
131 BROOKE CAPITAL LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-01
132 CELESTIAL COMMODITIES LIMITED 0 6 6 0 0 0 0 -6 -6 100.00 - 2005-01-25
133 CES Commodities (HK) Limited 1 3 4 0 0 0 -1 -3 -4 75.00 - 2005-03-08
134 CES International Commodities (HK) Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-03-07
135 CHIEF COMMODITIES LIMITED 2 9 11 0 0 0 -2 -9 -11 81.82 - 2004-10-15
136 China Enterprise Securities Company Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-11-10
137 CHINA INTERNATIONAL CAPITAL LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-28
138 CHONG HING COMMODITIES AND FUTURES LIMITED 4 3 7 0 0 0 -4 -3 -7 42.86 - 2005-01-19
139 CHOW SANG SANG FUTURES LIMITED 2 24 26 0 0 0 -2 -24 -26 92.31 - 2004-11-12
140 CMB INTERNATIONAL FUTURES LIMITED 2 7 9 0 0 0 -2 -7 -9 77.78 - 2004-11-26
141 CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED 2 72 74 0 0 0 -2 -72 -74 97.30 - 2004-10-25
142 Credit Suisse Futures (Hong Kong) Limited 0 6 6 0 0 0 0 -6 -6 100.00 - 2005-01-03
143 CSI Corporate Finance (HK) Limited 2 4 6 0 0 0 -2 -4 -6 66.67 - 2004-07-30
144 DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED 1 9 10 0 0 0 -1 -9 -10 90.00 - 2005-01-25
145 Duncan Futures Limited 2 21 23 0 0 0 -2 -21 -23 91.30 - 2005-03-08
146 Finet Securities Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-09-23
147 GM FINANCIAL FORMULA LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-09-09
148 GRAND ALLIANCE ASSET MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-09-02
149 Greentech Technology Asset Management Company Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-01-20
150 HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-07-07
151 HKFN WEALTH STRATEGY LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-01-11
152 HONG KONG INTERNATIONAL FUTURES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-07-20
153 HSBC BROKING FUTURES (ASIA) LIMITED 3 84 87 0 0 0 -3 -84 -87 96.55 - 2004-09-10
154 HSBC BROKING FUTURES (HONG KONG) LIMITED 3 32 35 0 0 0 -3 -32 -35 91.43 - 2004-09-10
155 ICHIYOSHI INTERNATIONAL (H.K.) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-12-01
156 Interactive Brokers LLC 0 1 1 0 0 0 0 -1 -1 100.00 - 2004-12-22
157 JEFFERIES BACHE (HONG KONG) LIMITED 2 56 58 0 0 0 -2 -56 -58 96.55 - 2004-12-10
158 KAISER FUTURES LIMITED 2 21 23 0 0 0 -2 -21 -23 91.30 - 2005-02-18
159 KARL-THOMSON COMMODITIES COMPANY LIMITED 1 13 14 0 0 0 -1 -13 -14 92.86 - 2004-11-26
160 KING FOOK COMMODITIES COMPANY LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-03-07
161 KINGSTON FUTURES LIMITED 2 14 16 0 0 0 -2 -14 -16 87.50 - 2005-01-24
162 KuCoin Commodity Futures Limited 1 1 2 0 0 0 -1 -1 -2 50.00 - 2004-11-01
163 MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-02
164 MERRILL LYNCH FUTURES (HONG KONG) LIMITED 1 68 69 0 0 0 -1 -68 -69 98.55 - 2005-01-25
165 Nerico Brothers Limited (HK) 2 1 3 0 0 0 -2 -1 -3 33.33 - 2004-08-02
166 NEW TREND FUTURES LIMITED 3 18 21 0 0 0 -3 -18 -21 85.71 - 2004-10-25
167 Nomura Asia Investment (Hong Kong) Limited 1 48 49 0 0 0 -1 -48 -49 97.96 - 2005-01-25
168 Nomura Asset Management Hong Kong Limited 2 1 3 0 0 0 -2 -1 -3 33.33 - 2004-12-16
169 OKACHI (HONG KONG) COMPANY LIMITED 1 5 6 0 0 0 -1 -5 -6 83.33 - 2005-02-07
170 PACIFIC GROUP LIMITED (THE) 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-24
171 PGIM (Hong Kong) Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-02-04
172 PHOENIX CAPITAL FUTURES LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2005-02-01
173 PineBridge Investments Asia Limited 1 1 2 0 0 0 -1 -1 -2 50.00 - 2005-03-15
174 PineBridge Investments Hong Kong Limited 1 2 3 0 0 0 -1 -2 -3 66.67 - 2005-03-15
175 Planetree Futures Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-09-28
176 PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-10-18
177 Quam Asset Management Limited (b1983-06-28) 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-28
178 QUAM FUTURES LIMITED 3 5 8 0 0 0 -3 -5 -8 62.50 - 2005-02-28
179 RBS Asia Futures Limited 2 4 6 0 0 0 -2 -4 -6 66.67 - 2005-01-25
180 REGENT FINANCIAL SERVICES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-08
181 REXCAPITAL FUTURES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-11-30
182 RICHMOND ASSET MANAGEMENT LIMITED (HK) 1 1 2 0 0 0 -1 -1 -2 50.00 - 2005-01-13
183 SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-09-13
184 SHENWAN HONGYUAN FUTURES (H.K.) LIMITED 1 43 44 0 0 0 -1 -43 -44 97.73 - 2004-12-08
185 SHUN LOONG FUTURES LIMITED 1 20 21 0 0 0 -1 -20 -21 95.24 - 2005-01-13
186 SIU YIP COMMODITY LIMITED 3 4 7 0 0 0 -3 -4 -7 57.14 - 2004-11-26
187 SOUTH CHINA COMMODITIES LIMITED 3 3 6 0 0 0 -3 -3 -6 50.00 - 2005-01-31
188 SPS COMMODITIES LIMITED 2 7 9 0 0 0 -2 -7 -9 77.78 - 2005-01-20
189 STANDARD & POOR'S, LLC 2 1 3 0 0 0 -2 -1 -3 33.33 - 2005-03-30
190 STOCKWELL COMMODITIES LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2005-02-22
191 Success Futures and Foreign Exchange Limited 1 1 2 0 0 0 -1 -1 -2 50.00 - 2004-08-31
192 Sumitomo Mitsui DS Asset Management (Hong Kong) Limited 1 1 2 0 0 0 -1 -1 -2 50.00 - 2005-01-25
193 SUN'S FUTURE LIMITED 3 6 9 0 0 0 -3 -6 -9 66.67 - 2005-02-18
194 Sunwah Kingsway Leasing and Finance Limited 1 1 2 0 0 0 -1 -1 -2 50.00 - 2004-06-24
195 TAI YIP COMMODITIES & FUTURES LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2004-11-19
196 TAIFAIR FUTURES LIMITED 1 3 4 0 0 0 -1 -3 -4 75.00 - 2005-02-23
197 TAK FUNG COMMODITIES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-03-31
198 TOPMORE COMMODITIES LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2004-11-22
199 UBS DERIVATIVES HONG KONG LIMITED 1 7 8 0 0 0 -1 -7 -8 87.50 - 2005-02-07
200 UBS SECURITIES ASIA LIMITED 1 13 14 0 0 0 -1 -13 -14 92.86 - 2005-02-04
201 UNI-ALPHA FUTURES LIMITED 1 4 5 0 0 0 -1 -4 -5 80.00 - 2004-08-30
202 Vantum Securities and Futures Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2004-09-16
203 VC International Asset Management Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-01-19
204 Vision Capital Investment Management Limited 2 5 7 0 0 0 -2 -5 -7 71.43 - 2003-12-17 2004-07-30
205 Well Link International Securities Limited 3 14 17 0 0 0 -3 -14 -17 82.35 - 2005-02-14
206 WELLAM INVESTMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-12-24
207 WELLCHAMP CAPITAL LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-01-31
208 WONDER FACE FUND MANAGEMENT COMPANY LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2005-02-17
209 WTV GLOBAL INVESTMENTS MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-01
210 YICKO FUTURES LIMITED 1 7 8 0 0 0 -1 -7 -8 87.50 - 2004-06-01
Average 1.73 7.58 9.31 2.28 2.77 5.05 81.45 54.83

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