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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2005-04-30 2006-04-30 Change Rep v total
Row Name RO Rep Total RO Rep Total RO Rep Total Start
%		 End
%		 Licence
start		 Licence
end
1 FT Securities Limited 0 0 0 3 58 61 3 58 61 - 95.08 2005-09-22 2012-07-13
2 J.P. MORGAN BROKING (HONG KONG) LIMITED 3 22 25 3 30 33 0 8 8 88.00 90.91 2003-12-02
3 JPMorgan Asset Management (Asia Pacific) Limited 2 24 26 3 25 28 1 1 2 92.31 89.29
4 GET NICE FUTURES COMPANY LIMITED 1 20 21 4 15 19 3 -5 -2 95.24 78.95
5 PHILLIP COMMODITIES (H.K.) LIMITED 2 11 13 2 15 17 0 4 4 84.62 88.24
6 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 14 18 3 14 17 -1 0 -1 77.78 82.35 2004-10-14
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 2 16 18 4 13 17 2 -3 -1 88.89 76.47
8 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 8 12 4 10 14 0 2 2 66.67 71.43
9 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 3 7 10 5 8 13 2 1 3 70.00 61.54
10 HANG SENG FUTURES LIMITED 3 8 11 3 10 13 0 2 2 72.73 76.92 2017-11-17
11 CHARLES SCHWAB, HONG KONG, LIMITED 3 10 13 3 9 12 0 -1 -1 76.92 75.00 2016-08-31
12 HSBC Global Asset Management (Hong Kong) Limited 4 4 8 4 7 11 0 3 3 50.00 63.64
13 Tyric Capital Limited 3 7 10 3 8 11 0 1 1 70.00 72.73 2003-11-13
14 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 8 10 2 8 10 0 0 0 80.00 80.00 2018-12-31
15 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 4 9 5 4 9 0 0 0 44.44 44.44
16 GOLDMAN SACHS (ASIA) L.L.C. 3 5 8 3 6 9 0 1 1 62.50 66.67
17 Manulife Investment Management (Hong Kong) Limited 4 5 9 4 5 9 0 0 0 55.56 55.56
18 BEAR STEARNS ASIA LIMITED 0 0 0 2 6 8 2 6 8 - 75.00 2005-11-29 2010-04-28
19 BEAR STEARNS HONG KONG LIMITED 1 7 8 2 6 8 1 -1 0 87.50 75.00 2009-05-14
20 ELLIOTT ADVISORS (HK) LIMITED 2 1 3 2 6 8 0 5 5 33.33 75.00 2005-03-08 2022-03-16
21 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 4 0 4 4 4 8 0 4 4 0.00 50.00
22 Legg Mason Asset Management Hong Kong Limited 2 6 8 2 6 8 0 0 0 75.00 75.00 2006-09-25
23 Legg Mason International Equities (Hong Kong) Limited 2 6 8 2 6 8 0 0 0 75.00 75.00 2006-09-25
24 METRO CAPITAL FUTURES LIMITED 2 5 7 3 5 8 1 0 1 71.43 62.50 2014-11-26
25 AlTi Wealth Management (Hong Kong) Limited 2 4 6 2 5 7 0 1 1 66.67 71.43 2004-05-11
26 BOCI COMMODITIES & FUTURES LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2004-11-17
27 BOCI SECURITIES LIMITED 0 0 0 4 3 7 4 3 7 - 42.86 2005-10-06
28 Oasis Management (Hong Kong) 2 0 2 2 5 7 0 5 5 0.00 71.43 2004-09-14
29 PI INVESTMENT MANAGEMENT LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14 2007-09-28
30 RG ASSET MANAGEMENT COMPANY LIMITED 3 4 7 4 3 7 1 -1 0 57.14 42.86 2013-11-25
31 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2012-01-12
32 Standard Commodities (Asia) Limited 1 6 7 2 5 7 1 -1 0 85.71 71.43 2008-05-16
33 AllianceBernstein Hong Kong Limited 4 3 7 3 3 6 -1 0 -1 42.86 50.00
34 Allianz Global Investors Hong Kong Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2007-06-28
35 AXA Investment Managers Asia Limited 3 1 4 3 3 6 0 2 2 25.00 50.00 2015-06-15
36 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 1 4 3 3 6 0 2 2 25.00 50.00 2015-06-15
37 Halbis Capital Management (Hong Kong) Limited 0 0 0 2 4 6 2 4 6 - 66.67 2005-06-23 2012-05-11
38 HSBC Global Asset Management Holdings (Bahamas) Limited 4 0 4 3 3 6 -1 3 2 0.00 50.00 2020-06-02
39 MF Global Hong Kong Limited 0 0 0 3 3 6 3 3 6 - 50.00 2005-08-26
40 OLD PEAK LIMITED (HK) 0 0 0 2 4 6 2 4 6 - 66.67 2005-08-26 2023-06-20
41 TC Investment Management (Asia) Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2008-02-14
42 BOCOM International Holdings Company Limited 0 0 0 5 0 5 5 0 5 - 0.00 2005-08-24 2010-03-09
43 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2018-09-21
44 CLSA FUTURES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-06-02
45 FIL Investment Advisors 2 2 4 3 2 5 1 0 1 50.00 40.00
46 FIL Investment Management (Hong Kong) Limited 2 2 4 3 2 5 1 0 1 50.00 40.00
47 GAM HONG KONG LIMITED 3 4 7 3 2 5 0 -2 -2 57.14 40.00 2013-06-19
48 HAITONG INTERNATIONAL FUTURES LIMITED 5 0 5 5 0 5 0 0 0 0.00 0.00
49 PEACE TOWN FUTURES LIMITED 4 2 6 4 1 5 0 -1 -1 33.33 20.00 2012-09-27
50 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
51 WFM Asia (HK) Limited 2 4 6 3 2 5 1 -2 -1 66.67 40.00 2013-11-05
52 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2016-04-19
53 ADMIS Hong Kong Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
54 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2012-06-25
55 Ark Futures (Hong Kong) Limited 0 0 0 3 1 4 3 1 4 - 25.00 2006-02-07
56 BALLINGAL INVESTMENT ADVISORS LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00 2004-08-13
57 BEA Union Investment Management Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2022-07-12
58 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2011-03-23
59 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2007-07-12
60 DELTA ASIA FINANCIAL FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00
61 Funderstone Futures Limited 1 3 4 2 2 4 1 -1 0 75.00 50.00
62 GINGER CAPITAL MANAGEMENT LIMITED 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2004-11-18 2009-05-29
63 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
64 HSBC GUYERZELLER FAR EAST LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2005-02-02 2009-08-31
65 Mackenzie Investments Asia Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2006-11-14
66 MUSHK Limited 4 1 5 4 0 4 0 -1 -1 20.00 0.00 2011-06-01
67 ROCTEC INVESTMENT LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2005-09-16 2021-10-07
68 SATTVA INVESTMENT ADVISORS LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00 2003-10-30 2015-04-22
69 UPBEST COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
70 WINNINGTON CAPITAL LIMITED 1 1 2 3 1 4 2 0 2 50.00 25.00
71 AD Capital Management (Hong Kong) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2004-09-08
72 AKTIS CAPITAL ADVISORY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2003-11-29
73 AP Asset Management (HK) Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2004-08-26 2013-12-04
74 ASIA ABSOLUTE ADVISORS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2004-08-19 2007-01-25
75 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-05-07
76 BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2007-01-31
77 BOCI ASSET MANAGEMENT LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2014-12-24
78 EMPEROR FUTURES LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00
79 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
80 First Sentier Investors (Hong Kong) Limited 2 2 4 0 3 3 -2 1 -1 50.00 100.00 2006-08-29
81 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
82 FIRST STATE (HONG KONG) LLC 2 2 4 0 3 3 -2 1 -1 50.00 100.00 2006-08-29
83 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 1 1 2 2 1 3 1 0 1 50.00 33.33 2024-03-21
84 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
85 ICBC Asset Management (Global) Company Limited 1 1 2 3 0 3 2 -1 1 50.00 0.00
86 INVESCO HONG KONG LIMITED 2 2 4 3 0 3 1 -2 -1 50.00 0.00
87 iVenture Investment Management Limited 2 0 2 2 1 3 0 1 1 0.00 33.33
88 KGI FUTURES (HONG KONG) LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00
89 LIM ADVISORS LIMITED 1 2 3 2 1 3 1 -1 0 66.67 33.33 2021-02-17
90 MAGUSTA FUTURES LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2013-02-26
91 Metaverse Securities Limited (HK) 2 1 3 2 1 3 0 0 0 33.33 33.33
92 Morgan Stanley Asia Limited 0 0 0 2 1 3 2 1 3 - 33.33 2006-04-07
93 OCP Asia (Hong Kong) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2004-09-03 2022-06-13
94 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
95 SBI China Capital Commodities Limited 2 1 3 3 0 3 1 -1 0 33.33 0.00 2013-07-16
96 SKY WARD GLOBAL MANAGEMENT LIMITED 1 1 2 2 1 3 1 0 1 50.00 33.33 2012-07-10
97 VALUE PARTNERS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
98 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-07-30
99 BLUE POOL CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-11-10 2015-12-01
100 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-11-03
101 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
102 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
103 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
104 DEUTSCHE SECURITIES ASIA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-01-08 2020-02-04
105 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
106 GOLDMAN SACHS FUTURES (ASIA) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-10-10
107 GT CAPITAL LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2006-03-03 2006-09-11
108 HAMON ASSET MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
109 IMPAC ASSET MANAGEMENT (HK) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2017-01-03
110 INFINITI INVESTMENT MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2006-02-07 2010-05-10
111 JAGUAR INVESTMENT SERVICES, LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2015-06-22
112 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
113 OVERLOOK INVESTMENTS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-01-05
114 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-09-05
115 PFP Capital Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00
116 PIPER JAFFRAY ASIA ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-09 2008-10-08
117 PRUDENTIAL INDEX TRADING COMPANY LIMITED 1 1 2 1 1 2 0 0 0 50.00 50.00
118 SINOPAC FUTURES (ASIA) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-09-25
119 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 2 4 1 1 2 -1 -1 -2 50.00 50.00 2011-01-18
120 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
121 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
122 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2015-02-09
123 Yuanta Asia Investment (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-08-13 2013-11-01
124 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00
125 AFG CAPITAL ASSETS LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2004-09-01 2006-07-28
126 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
127 SAGE ASSET MANAGEMENT (HK) LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2006-10-13
128 VEGASOUL SERVICES LIMITED 0 0 0 1 0 1 1 0 1 - 0.00 2005-07-22 2007-11-02
129 ASIA DEBT MANAGEMENT HONG KONG LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2005-06-29
130 CHAOS INTERNATIONAL FINANCIAL LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-06-10
131 CIBC Global Asset Management (Asia) Limited 1 3 4 0 0 0 -1 -3 -4 75.00 - 2006-01-10
132 RBC FUTURES SERVICES (ASIA) LIMITED 4 14 18 0 0 0 -4 -14 -18 77.78 - 2005-10-28
133 STRATEGIC OPTIONS INVESTMENT ADVISORS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-12-05
Average 2.28 2.78 5.06 2.48 3.27 5.74 54.86 56.87

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