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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2004-05-31 2005-05-31 Change Rep v total
Row Name RO Rep Total RO Rep Total RO Rep Total Start
%		 End
%		 Licence
start		 Licence
end
1 J.P. MORGAN BROKING (HONG KONG) LIMITED 4 13 17 3 24 27 -1 11 10 76.47 88.89 2003-12-02
2 JPMorgan Asset Management (Asia Pacific) Limited 3 24 27 2 24 26 -1 0 -1 88.89 92.31
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 15 17 0 0 0 88.24 88.24
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 84 86 2 11 13 0 -73 -73 97.67 84.62
9 NOMURA INTERNATIONAL (HONG KONG) LIMITED 1 33 34 4 8 12 3 -25 -22 97.06 66.67
10 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 4 9 13 4 7 11 0 -2 -2 69.23 63.64
11 HANG SENG FUTURES LIMITED 4 8 12 3 8 11 -1 0 -1 66.67 72.73 2017-11-17
12 BARING ASSET MANAGEMENT (ASIA) LIMITED 3 8 11 6 4 10 3 -4 -1 72.73 40.00
13 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 13 15 2 8 10 0 -5 -5 86.67 80.00 2018-12-31
14 Tyric Capital Limited 2 5 7 3 7 10 1 2 3 71.43 70.00 2003-11-13
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 12 13 1 7 8 0 -5 -5 92.31 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 Legg Mason Asset Management Hong Kong Limited 1 4 5 2 6 8 1 2 3 80.00 75.00 2006-09-25
19 Legg Mason International Equities (Hong Kong) Limited 1 4 5 2 6 8 1 2 3 80.00 75.00 2006-09-25
20 PI INVESTMENT MANAGEMENT LIMITED 3 0 3 3 5 8 0 5 5 0.00 62.50 2007-09-28
21 AllianceBernstein Hong Kong Limited 2 3 5 4 3 7 2 0 2 60.00 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 HSBC Global Asset Management (Hong Kong) Limited 3 6 9 4 3 7 1 -3 -2 66.67 42.86
25 METRO CAPITAL FUTURES LIMITED 2 5 7 3 4 7 1 -1 0 71.43 57.14 2014-11-26
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 4 6 2 5 7 0 1 1 66.67 71.43 2012-01-12
28 Standard Commodities (Asia) Limited 1 3 4 1 6 7 0 3 3 75.00 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 2 2 4 2 4 6 0 2 2 50.00 66.67 2004-05-11
31 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 1 4 3 3 6 0 2 2 25.00 50.00 2018-09-21
32 WFM Asia (HK) Limited 1 2 3 2 4 6 1 2 3 66.67 66.67 2013-11-05
33 CLSA FUTURES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-06-02
34 DELTA ASIA FINANCIAL FUTURES LIMITED 1 0 1 2 3 5 1 3 4 0.00 60.00
35 ELLIOTT ADVISORS (HK) LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2005-03-08 2022-03-16
36 GINGER CAPITAL MANAGEMENT LIMITED 0 0 0 3 2 5 3 2 5 - 40.00 2004-11-18 2009-05-29
37 HAITONG INTERNATIONAL FUTURES LIMITED 5 0 5 5 0 5 0 0 0 0.00 0.00
38 MUSHK Limited 2 5 7 4 1 5 2 -4 -2 71.43 20.00 2011-06-01
39 PEACE TOWN FUTURES LIMITED 4 3 7 4 1 5 0 -2 -2 42.86 20.00 2012-09-27
40 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
41 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 3 7 10 2 3 5 -1 -4 -5 70.00 60.00 2016-04-19
42 ADMIS Hong Kong Limited 3 14 17 3 1 4 0 -13 -13 82.35 25.00
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 AXA Investment Managers Asia Limited 0 0 0 3 1 4 3 1 4 - 25.00 2015-06-15
45 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 1 1 2 3 1 4 2 0 2 50.00 25.00 2015-06-15
46 BEA Union Investment Management Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2022-07-12
47 CIBC Global Asset Management (Asia) Limited 1 3 4 2 2 4 1 -1 0 75.00 50.00 2006-01-10
48 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 1 1 2 2 2 4 1 1 2 50.00 50.00 2007-07-12
49 FIL Investment Advisors 1 1 2 2 2 4 1 1 2 50.00 50.00
50 FIL Investment Management (Hong Kong) Limited 1 1 2 2 2 4 1 1 2 50.00 50.00
51 Funderstone Futures Limited 4 28 32 1 3 4 -3 -25 -28 87.50 75.00
52 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 2 5 2 2 4 -1 0 -1 40.00 50.00
53 HSBC Global Asset Management Holdings (Bahamas) Limited 3 0 3 4 0 4 1 0 1 0.00 0.00 2020-06-02
54 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 3 0 3 4 0 4 1 0 1 0.00 0.00
55 INVESCO HONG KONG LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
56 LIM ADVISORS LIMITED 1 1 2 2 2 4 1 1 2 50.00 50.00 2021-02-17
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 TC Investment Management (Asia) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2008-02-14
61 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
62 YUE XIU FUTURES COMPANY LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2024-07-30
63 AD Capital Management (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2004-09-08
64 AKTIS CAPITAL ADVISORY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2003-11-29
65 ASIA ABSOLUTE ADVISORS LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2004-08-19 2007-01-25
66 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2014-05-07
67 BALLINGAL INVESTMENT ADVISORS LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2004-08-13
68 BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2007-01-31
69 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 1 1 2 2 1 3 1 0 1 50.00 33.33 2011-03-23
70 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
71 First Sentier Investors (Hong Kong) Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2006-08-29
72 FIRST SHANGHAI FUTURES LIMITED 2 15 17 2 1 3 0 -14 -14 88.24 33.33
73 FIRST STATE (HONG KONG) LLC 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2006-08-29
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 3 112 115 2 1 3 -1 -111 -112 97.39 33.33
78 Metaverse Securities Limited (HK) 2 0 2 2 1 3 0 1 1 0.00 33.33
79 OCP Asia (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2004-09-03 2022-06-13
80 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
81 PFP Capital Limited 1 2 3 2 1 3 1 -1 0 66.67 33.33
82 SATTVA INVESTMENT ADVISORS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2003-10-30 2015-04-22
83 SBI China Capital Commodities Limited 1 2 3 2 1 3 1 -1 0 66.67 33.33 2013-07-16
84 SKY WARD GLOBAL MANAGEMENT LIMITED 1 1 2 2 1 3 1 0 1 50.00 33.33 2012-07-10
85 SOFAER GLOBAL RESEARCH (HK) LIMITED 0 2 2 2 1 3 2 -1 1 100.00 33.33 2011-01-18
86 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2015-02-09
87 WINNINGTON CAPITAL LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33
88 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
89 AFG CAPITAL ASSETS LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2004-09-01 2006-07-28
90 AP Asset Management (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2004-08-26 2013-12-04
91 BLUE POOL CAPITAL LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2004-11-10 2015-12-01
92 BNP PARIBAS DEALING SERVICES ASIA LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2010-11-03
93 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
94 CHAOS INTERNATIONAL FINANCIAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-06-10
95 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
96 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
97 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
98 DEUTSCHE SECURITIES ASIA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-01-08 2020-02-04
99 EMPEROR FUTURES LIMITED 2 20 22 2 0 2 0 -20 -20 90.91 0.00
100 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
101 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2024-03-21
102 GOLDMAN SACHS FUTURES (ASIA) LIMITED 0 71 71 2 0 2 2 -71 -69 100.00 0.00 2016-10-10
103 ICBC Asset Management (Global) Company Limited 1 1 2 1 1 2 0 0 0 50.00 50.00
104 IMPAC ASSET MANAGEMENT (HK) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2017-01-03
105 iVenture Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00
106 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
107 Oasis Management (Hong Kong) 0 0 0 2 0 2 2 0 2 - 0.00 2004-09-14
108 OVERLOOK INVESTMENTS LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2010-01-05
109 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-09-05
110 PIPER JAFFRAY ASIA ASSET MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2005-03-09 2008-10-08
111 PRUDENTIAL INDEX TRADING COMPANY LIMITED 1 18 19 1 1 2 0 -17 -17 94.74 50.00
112 SAGE ASSET MANAGEMENT (HK) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2006-10-13
113 SINOPAC FUTURES (ASIA) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-09-25
114 STRATEGIC OPTIONS INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-12-05
115 VALUE PARTNERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
116 VC INTERNATIONAL TRADING LIMITED 1 29 30 2 0 2 1 -29 -28 96.67 0.00 2022-10-27
117 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00
118 Yuanta Asia Investment (Hong Kong) Limited 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2003-08-13 2013-11-01
119 ASIA DEBT MANAGEMENT HONG KONG LIMITED 1 2 3 1 0 1 0 -2 -2 66.67 0.00 2005-06-29
120 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
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 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2004-12-03
130 BROOKE CAPITAL LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-01
131 CELESTIAL COMMODITIES LIMITED 0 5 5 0 0 0 0 -5 -5 100.00 - 2005-01-25
132 CES Commodities (HK) Limited 1 3 4 0 0 0 -1 -3 -4 75.00 - 2005-03-08
133 CES International Commodities (HK) Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-03-07
134 CHIEF COMMODITIES LIMITED 1 9 10 0 0 0 -1 -9 -10 90.00 - 2004-10-15
135 China Enterprise Securities Company Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-11-10
136 CHINA INTERNATIONAL CAPITAL LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-28
137 CHONG HING COMMODITIES AND FUTURES LIMITED 4 3 7 0 0 0 -4 -3 -7 42.86 - 2005-01-19
138 CHOW SANG SANG FUTURES LIMITED 2 24 26 0 0 0 -2 -24 -26 92.31 - 2004-11-12
139 CMB INTERNATIONAL FUTURES LIMITED 2 7 9 0 0 0 -2 -7 -9 77.78 - 2004-11-26
140 CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED 2 70 72 0 0 0 -2 -70 -72 97.22 - 2004-10-25
141 Credit Suisse Futures (Hong Kong) Limited 0 6 6 0 0 0 0 -6 -6 100.00 - 2005-01-03
142 CSI Corporate Finance (HK) Limited 2 4 6 0 0 0 -2 -4 -6 66.67 - 2004-07-30
143 DAIWA SECURITIES SMBC FUTURES (ASIA) LIMITED 1 8 9 0 0 0 -1 -8 -9 88.89 - 2005-01-25
144 Duncan Futures Limited 2 21 23 0 0 0 -2 -21 -23 91.30 - 2005-03-08
145 Finet Securities Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-09-23
146 GM FINANCIAL FORMULA LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-09-09
147 GRAND ALLIANCE ASSET MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-09-02
148 Greentech Technology Asset Management Company Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-01-20
149 HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-07-07
150 HKFN WEALTH STRATEGY LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-01-11
151 HONG KONG INTERNATIONAL FUTURES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-07-20
152 HSBC BROKING FUTURES (ASIA) LIMITED 3 84 87 0 0 0 -3 -84 -87 96.55 - 2004-09-10
153 HSBC BROKING FUTURES (HONG KONG) LIMITED 3 32 35 0 0 0 -3 -32 -35 91.43 - 2004-09-10
154 ICHIYOSHI INTERNATIONAL (H.K.) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-12-01
155 Interactive Brokers LLC 0 1 1 0 0 0 0 -1 -1 100.00 - 2004-12-22
156 JEFFERIES BACHE (HONG KONG) LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2004-12-10
157 KAISER FUTURES LIMITED 2 21 23 0 0 0 -2 -21 -23 91.30 - 2005-02-18
158 KARL-THOMSON COMMODITIES COMPANY LIMITED 1 5 6 0 0 0 -1 -5 -6 83.33 - 2004-11-26
159 KING FOOK COMMODITIES COMPANY LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-03-07
160 KINGSTON FUTURES LIMITED 2 14 16 0 0 0 -2 -14 -16 87.50 - 2005-01-24
161 KuCoin Commodity Futures Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-11-01
162 MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-02
163 MERRILL LYNCH FUTURES (HONG KONG) LIMITED 1 68 69 0 0 0 -1 -68 -69 98.55 - 2005-01-25
164 Nerico Brothers Limited (HK) 2 1 3 0 0 0 -2 -1 -3 33.33 - 2004-08-02
165 NEW TREND FUTURES LIMITED 3 18 21 0 0 0 -3 -18 -21 85.71 - 2004-10-25
166 Nomura Asia Investment (Hong Kong) Limited 1 46 47 0 0 0 -1 -46 -47 97.87 - 2005-01-25
167 Nomura Asset Management Hong Kong Limited 2 1 3 0 0 0 -2 -1 -3 33.33 - 2004-12-16
168 OKACHI (HONG KONG) COMPANY LIMITED 1 5 6 0 0 0 -1 -5 -6 83.33 - 2005-02-07
169 PACIFIC GROUP LIMITED (THE) 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-24
170 PGIM (Hong Kong) Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-02-04
171 PHOENIX CAPITAL FUTURES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-02-01
172 PineBridge Investments Asia Limited 1 1 2 0 0 0 -1 -1 -2 50.00 - 2005-03-15
173 PineBridge Investments Hong Kong Limited 1 2 3 0 0 0 -1 -2 -3 66.67 - 2005-03-15
174 Planetree Futures Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-09-28
175 PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-10-18
176 Quam Asset Management Limited (b1983-06-28) 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-28
177 QUAM FUTURES LIMITED 3 5 8 0 0 0 -3 -5 -8 62.50 - 2005-02-28
178 RBS Asia Futures Limited 2 1 3 0 0 0 -2 -1 -3 33.33 - 2005-01-25
179 REGENT FINANCIAL SERVICES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-08
180 REXCAPITAL FUTURES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-11-30
181 RICHMOND ASSET MANAGEMENT LIMITED (HK) 1 1 2 0 0 0 -1 -1 -2 50.00 - 2005-01-13
182 SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-09-13
183 SHENWAN HONGYUAN FUTURES (H.K.) LIMITED 1 43 44 0 0 0 -1 -43 -44 97.73 - 2004-12-08
184 SHUN LOONG FUTURES LIMITED 1 8 9 0 0 0 -1 -8 -9 88.89 - 2005-01-13
185 SIU YIP COMMODITY LIMITED 3 4 7 0 0 0 -3 -4 -7 57.14 - 2004-11-26
186 SOUTH CHINA COMMODITIES LIMITED 3 3 6 0 0 0 -3 -3 -6 50.00 - 2005-01-31
187 SPS COMMODITIES LIMITED 1 6 7 0 0 0 -1 -6 -7 85.71 - 2005-01-20
188 STANDARD & POOR'S, LLC 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-03-30
189 STOCKWELL COMMODITIES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-22
190 Success Futures and Foreign Exchange Limited 1 1 2 0 0 0 -1 -1 -2 50.00 - 2004-08-31
191 Sumitomo Mitsui DS Asset Management (Hong Kong) Limited 1 1 2 0 0 0 -1 -1 -2 50.00 - 2005-01-25
192 SUN'S FUTURE LIMITED 3 4 7 0 0 0 -3 -4 -7 57.14 - 2005-02-18
193 TAI YIP COMMODITIES & FUTURES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-11-19
194 TAIFAIR FUTURES LIMITED 1 3 4 0 0 0 -1 -3 -4 75.00 - 2005-02-23
195 TAK FUNG COMMODITIES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-03-31
196 TOPMORE COMMODITIES LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2004-11-22
197 UBS DERIVATIVES HONG KONG LIMITED 1 7 8 0 0 0 -1 -7 -8 87.50 - 2005-02-07
198 UBS SECURITIES ASIA LIMITED 1 12 13 0 0 0 -1 -12 -13 92.31 - 2005-02-04
199 UNI-ALPHA FUTURES LIMITED 1 4 5 0 0 0 -1 -4 -5 80.00 - 2004-08-30
200 Vantum Securities and Futures Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2004-09-16
201 VC International Asset Management Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-01-19
202 Vision Capital Investment Management Limited 2 5 7 0 0 0 -2 -5 -7 71.43 - 2003-12-17 2004-07-30
203 Well Link International Securities Limited 3 14 17 0 0 0 -3 -14 -17 82.35 - 2005-02-14
204 WELLAM INVESTMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-12-24
205 WELLCHAMP CAPITAL LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-01-31
206 WONDER FACE FUND MANAGEMENT COMPANY LIMITED 1 1 2 0 0 0 -1 -1 -2 50.00 - 2005-02-17
207 WTV GLOBAL INVESTMENTS MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-02-01
208 YICKO FUTURES LIMITED 1 6 7 0 0 0 -1 -6 -7 85.71 - 2004-06-01
Average 1.74 6.96 8.70 2.36 2.72 5.08 80.01 53.50

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