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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2005-06-30 2006-06-30 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 56 59 3 56 59 - 94.92 2005-09-22 2012-07-13
2 J.P. MORGAN BROKING (HONG KONG) LIMITED 3 24 27 3 28 31 0 4 4 88.89 90.32 2003-12-02
3 JPMorgan Asset Management (Asia Pacific) Limited 2 26 28 3 25 28 1 -1 0 92.86 89.29
4 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 15 19 3 18 21 -1 3 2 78.95 85.71 2004-10-14
5 GET NICE FUTURES COMPANY LIMITED 1 20 21 3 16 19 2 -4 -2 95.24 84.21
6 STATE STREET GLOBAL ADVISORS ASIA LIMITED 2 15 17 4 15 19 2 0 2 88.24 78.95
7 PHILLIP COMMODITIES (H.K.) LIMITED 2 12 14 2 16 18 0 4 4 85.71 88.89
8 CHARLES SCHWAB, HONG KONG, LIMITED 3 10 13 5 10 15 2 0 2 76.92 66.67 2016-08-31
9 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 8 12 5 10 15 1 2 3 66.67 66.67
10 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 4 8 12 5 8 13 1 0 1 66.67 61.54
11 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 4 10 5 6 11 -1 2 1 40.00 54.55
12 HANG SENG FUTURES LIMITED 3 8 11 2 9 11 -1 1 0 72.73 81.82 2017-11-17
13 HSBC Global Asset Management (Hong Kong) Limited 4 3 7 4 7 11 0 4 4 42.86 63.64
14 GOLDMAN SACHS (ASIA) L.L.C. 3 5 8 3 7 10 0 2 2 62.50 70.00
15 Oasis Management (Hong Kong) 2 0 2 2 8 10 0 8 8 0.00 80.00 2004-09-14
16 Tyric Capital Limited 3 5 8 3 7 10 0 2 2 62.50 70.00 2003-11-13
17 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2018-12-31
18 Manulife Investment Management (Hong Kong) Limited 4 5 9 4 5 9 0 0 0 55.56 55.56
19 AllianceBernstein Hong Kong Limited 4 3 7 2 6 8 -2 3 1 42.86 75.00
20 BEAR STEARNS ASIA LIMITED 0 0 0 2 6 8 2 6 8 - 75.00 2005-11-29 2010-04-28
21 BEAR STEARNS HONG KONG LIMITED 2 6 8 2 6 8 0 0 0 75.00 75.00 2009-05-14
22 ELLIOTT ADVISORS (HK) LIMITED 2 3 5 2 6 8 0 3 3 60.00 75.00 2005-03-08 2022-03-16
23 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 4 0 4 4 4 8 0 4 4 0.00 50.00
24 METRO CAPITAL FUTURES LIMITED 3 4 7 3 5 8 0 1 1 57.14 62.50 2014-11-26
25 AXA Investment Managers Asia Limited 3 1 4 3 4 7 0 3 3 25.00 57.14 2015-06-15
26 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 2 5 3 4 7 0 2 2 40.00 57.14 2015-06-15
27 PI INVESTMENT MANAGEMENT LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14 2007-09-28
28 RG ASSET MANAGEMENT COMPANY LIMITED 3 4 7 4 3 7 1 -1 0 57.14 42.86 2013-11-25
29 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2012-01-12
30 Standard Commodities (Asia) Limited 1 6 7 2 5 7 1 -1 0 85.71 71.43 2008-05-16
31 Allianz Global Investors Hong Kong Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2007-06-28
32 AlTi Wealth Management (Hong Kong) Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2004-05-11
33 BOCI COMMODITIES & FUTURES LIMITED 4 3 7 3 3 6 -1 0 -1 42.86 50.00 2004-11-17
34 BOCI SECURITIES LIMITED 0 0 0 3 3 6 3 3 6 - 50.00 2005-10-06
35 FIL Investment Advisors 2 2 4 3 3 6 1 1 2 50.00 50.00
36 FIL Investment Management (Hong Kong) Limited 2 2 4 3 3 6 1 1 2 50.00 50.00
37 Halbis Capital Management (Hong Kong) Limited 2 0 2 2 4 6 0 4 4 0.00 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 OLD PEAK LIMITED (HK) 0 0 0 2 4 6 2 4 6 - 66.67 2005-08-26 2023-06-20
40 TC Investment Management (Asia) Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2008-02-14
41 WINNINGTON CAPITAL LIMITED 2 1 3 3 3 6 1 2 3 33.33 50.00
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 First Sentier Investors (Hong Kong) Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2006-08-29
46 FIRST STATE (HONG KONG) LLC 2 1 3 2 3 5 0 2 2 33.33 60.00 2006-08-29
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 MF Global Hong Kong Limited 0 0 0 3 2 5 3 2 5 - 40.00 2005-08-26
50 PEACE TOWN FUTURES LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00 2012-09-27
51 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
52 WFM Asia (HK) Limited 2 4 6 3 2 5 1 -2 -1 66.67 40.00 2013-11-05
53 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-04-19
54 ADMIS Hong Kong Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
55 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2012-06-25
56 Ark Futures (Hong Kong) Limited 0 0 0 3 1 4 3 1 4 - 25.00 2006-02-07
57 BALLINGAL INVESTMENT ADVISORS LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00 2004-08-13
58 BEA Union Investment Management Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2022-07-12
59 CHIEF COMMODITIES LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2006-05-17 2025-08-31
60 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2011-03-23
61 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2007-07-12
62 DELTA ASIA FINANCIAL FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00
63 Funderstone Futures Limited 1 3 4 2 2 4 1 -1 0 75.00 50.00
64 GINGER CAPITAL MANAGEMENT LIMITED 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2004-11-18 2009-05-29
65 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
66 HSBC GUYERZELLER FAR EAST LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2005-02-02 2009-08-31
67 Mackenzie Investments Asia Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2006-11-14
68 Morgan Stanley Asia Limited 0 0 0 3 1 4 3 1 4 - 25.00 2006-04-07
69 MUSHK Limited 5 0 5 4 0 4 -1 0 -1 0.00 0.00 2011-06-01
70 SATTVA INVESTMENT ADVISORS LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00 2003-10-30 2015-04-22
71 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2011-01-18
72 UPBEST COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
73 AD Capital Management (Hong Kong) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2004-09-08
74 AKTIS CAPITAL ADVISORY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2003-11-29
75 AP Asset Management (HK) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2004-08-26 2013-12-04
76 ASIA ABSOLUTE ADVISORS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2004-08-19 2007-01-25
77 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-05-07
78 BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2007-01-31
79 BOCI ASSET MANAGEMENT LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2014-12-24
80 CAPE ASSET MANAGEMENT LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2006-05-23 2024-03-13
81 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2006-05-23 2017-07-25
82 EMPEROR FUTURES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
83 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
84 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2024-03-21
85 HAMON ASSET MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
86 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
87 ICBC Asset Management (Global) Company Limited 1 1 2 3 0 3 2 -1 1 50.00 0.00
88 INVESCO HONG KONG LIMITED 2 2 4 3 0 3 1 -2 -1 50.00 0.00
89 iVenture Investment Management Limited 2 0 2 2 1 3 0 1 1 0.00 33.33
90 KGI FUTURES (HONG KONG) LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00
91 LIM ADVISORS LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2021-02-17
92 MAGUSTA FUTURES LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2013-02-26
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 PFP Capital Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
96 ROCTEC INVESTMENT LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2005-09-16 2021-10-07
97 SINOPAC FUTURES (ASIA) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2014-09-25
98 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
99 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
100 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-07-30
101 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
102 BLUE POOL CAPITAL LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-11-10 2015-12-01
103 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-11-03
104 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
105 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
106 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
107 DEUTSCHE SECURITIES ASIA LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2004-01-08 2020-02-04
108 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
109 Fortress Investment Group (Hong Kong) LLC 0 0 0 2 0 2 2 0 2 - 0.00 2006-06-07 2008-08-07
110 Funderstone Asset Management (HK) Limited 1 0 1 2 0 2 1 0 1 0.00 0.00 2013-11-14
111 GOLDMAN SACHS FUTURES (ASIA) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2016-10-10
112 GT CAPITAL LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2006-03-03 2006-09-11
113 IMPAC ASSET MANAGEMENT (HK) LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2017-01-03
114 INFINITI INVESTMENT MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2006-02-07 2010-05-10
115 JAGUAR INVESTMENT SERVICES, LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2015-06-22
116 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
117 Metaverse Securities Limited (HK) 2 1 3 2 0 2 0 -1 -1 33.33 0.00
118 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 0 2 1 1 2 -1 1 0 0.00 50.00 2008-09-05
119 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
120 PRUDENTIAL INDEX TRADING COMPANY LIMITED 1 1 2 1 1 2 0 0 0 50.00 50.00
121 SBI China Capital Commodities Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-07-16
122 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
123 VEGASOUL SERVICES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2005-07-22 2007-11-02
124 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
125 WHARTON INVESTMENT ADVISORS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2015-02-09
126 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
127 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
128 Legg Mason Asset Management Hong Kong Limited 2 6 8 0 1 1 -2 -5 -7 75.00 100.00 2006-09-25
129 Legg Mason International Equities (Hong Kong) Limited 2 6 8 0 1 1 -2 -5 -7 75.00 100.00 2006-09-25
130 OVERLOOK INVESTMENTS LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2010-01-05
131 SAGE ASSET MANAGEMENT (HK) LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2006-10-13
132 AFG CAPITAL ASSETS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-09-01 2006-07-28
133 CIBC Global Asset Management (Asia) Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2006-01-10
134 RBC FUTURES SERVICES (ASIA) LIMITED 4 15 19 0 0 0 -4 -15 -19 78.95 - 2005-10-28
135 STRATEGIC OPTIONS INVESTMENT ADVISORS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-12-05
Average 2.40 2.76 5.17 2.48 3.26 5.74 53.50 56.78

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