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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2005-09-30 2006-09-30 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 2 54 56 2 71 73 0 17 17 96.43 97.26 2005-09-22 2012-07-13
2 J.P. MORGAN BROKING (HONG KONG) LIMITED 3 26 29 3 35 38 0 9 9 89.66 92.11 2003-12-02
3 JPMorgan Asset Management (Asia Pacific) Limited 2 25 27 2 25 27 0 0 0 92.59 92.59
4 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 16 20 3 24 27 -1 8 7 80.00 88.89 2004-10-14
5 STATE STREET GLOBAL ADVISORS ASIA LIMITED 2 13 15 4 17 21 2 4 6 86.67 80.95
6 GET NICE FUTURES COMPANY LIMITED 3 17 20 3 16 19 0 -1 -1 85.00 84.21
7 PHILLIP COMMODITIES (H.K.) LIMITED 2 13 15 2 16 18 0 3 3 86.67 88.89
8 CHARLES SCHWAB, HONG KONG, LIMITED 2 10 12 5 11 16 3 1 4 83.33 68.75 2016-08-31
9 AllianceBernstein Hong Kong Limited 4 3 7 2 11 13 -2 8 6 42.86 84.62
10 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 3 9 12 4 9 13 1 0 1 75.00 69.23
11 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 4 10 5 7 12 -1 3 2 40.00 58.33
12 GOLDMAN SACHS (ASIA) L.L.C. 3 5 8 5 7 12 2 2 4 62.50 58.33
13 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 8 12 4 8 12 0 0 0 66.67 66.67
14 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 7 9 2 9 11 0 2 2 77.78 81.82 2018-12-31
15 HSBC Global Asset Management (Hong Kong) Limited 3 3 6 3 8 11 0 5 5 50.00 72.73
16 Oasis Management (Hong Kong) 2 1 3 2 9 11 0 8 8 33.33 81.82 2004-09-14
17 Manulife Investment Management (Hong Kong) Limited 4 5 9 4 6 10 0 1 1 55.56 60.00
18 HANG SENG FUTURES LIMITED 3 9 12 2 7 9 -1 -2 -3 75.00 77.78 2017-11-17
19 Tyric Capital Limited 3 6 9 3 6 9 0 0 0 66.67 66.67 2003-11-13
20 ELLIOTT ADVISORS (HK) LIMITED 2 5 7 2 6 8 0 1 1 71.43 75.00 2005-03-08 2022-03-16
21 METRO CAPITAL FUTURES LIMITED 3 4 7 3 5 8 0 1 1 57.14 62.50 2014-11-26
22 OCP Asia (Hong Kong) Limited 2 1 3 2 6 8 0 5 5 33.33 75.00 2004-09-03 2022-06-13
23 Standard Commodities (Asia) Limited 2 3 5 3 5 8 1 2 3 60.00 62.50 2008-05-16
24 AXA Investment Managers Asia Limited 3 1 4 3 4 7 0 3 3 25.00 57.14 2015-06-15
25 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 2 5 3 4 7 0 2 2 40.00 57.14 2015-06-15
26 BEAR STEARNS ASIA LIMITED 0 0 0 2 5 7 2 5 7 - 71.43 2005-11-29 2010-04-28
27 BEAR STEARNS HONG KONG LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2009-05-14
28 CLSA FUTURES LIMITED 2 3 5 2 5 7 0 2 2 60.00 71.43 2016-06-02
29 FIL Investment Advisors 2 3 5 3 4 7 1 1 2 60.00 57.14
30 FIL Investment Management (Hong Kong) Limited 2 3 5 3 4 7 1 1 2 60.00 57.14
31 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 3 0 3 3 4 7 0 4 4 0.00 57.14
32 Morgan Stanley Asia Limited 0 0 0 4 3 7 4 3 7 - 42.86 2006-04-07
33 PI INVESTMENT MANAGEMENT LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14 2007-09-28
34 RG ASSET MANAGEMENT COMPANY LIMITED 3 4 7 4 3 7 1 -1 0 57.14 42.86 2013-11-25
35 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 4 6 3 4 7 1 0 1 66.67 57.14 2012-01-12
36 TC Investment Management (Asia) Limited 2 3 5 2 5 7 0 2 2 60.00 71.43 2008-02-14
37 Allianz Global Investors Hong Kong Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2007-06-28
38 AlTi Wealth Management (Hong Kong) Limited 2 5 7 2 4 6 0 -1 -1 71.43 66.67 2004-05-11
39 BOCI COMMODITIES & FUTURES LIMITED 4 3 7 3 3 6 -1 0 -1 42.86 50.00 2004-11-17
40 BOCI SECURITIES LIMITED 0 0 0 4 2 6 4 2 6 - 33.33 2005-10-06
41 GOLDMAN SACHS FUTURES (ASIA) LIMITED 2 0 2 5 1 6 3 1 4 0.00 16.67 2016-10-10
42 OLD PEAK LIMITED (HK) 2 1 3 3 3 6 1 2 3 33.33 50.00 2005-08-26 2023-06-20
43 BLUE POOL CAPITAL LIMITED 2 0 2 2 3 5 0 3 3 0.00 60.00 2004-11-10 2015-12-01
44 BOCOM International Holdings Company Limited 3 0 3 5 0 5 2 0 2 0.00 0.00 2005-08-24 2010-03-09
45 CHIEF COMMODITIES LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2006-05-17 2025-08-31
46 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
47 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 2 1 3 3 2 5 1 1 2 33.33 40.00 2011-03-23
48 GAM HONG KONG LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2013-06-19
49 GINGER CAPITAL MANAGEMENT LIMITED 3 2 5 4 1 5 1 -1 0 40.00 20.00 2004-11-18 2009-05-29
50 HAITONG INTERNATIONAL FUTURES LIMITED 5 0 5 5 0 5 0 0 0 0.00 0.00
51 Halbis Capital Management (Hong Kong) Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2005-06-23 2012-05-11
52 HAMON ASSET MANAGEMENT LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00
53 HSBC Global Asset Management Holdings (Bahamas) Limited 3 0 3 2 3 5 -1 3 2 0.00 60.00 2020-06-02
54 MUSHK Limited 5 0 5 4 1 5 -1 1 0 0.00 20.00 2011-06-01
55 PEACE TOWN FUTURES LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00 2012-09-27
56 PFP Capital Limited 2 1 3 2 3 5 0 2 2 33.33 60.00
57 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
58 SINOPAC FUTURES (ASIA) LIMITED 2 1 3 3 2 5 1 1 2 33.33 40.00 2014-09-25
59 SOFAER GLOBAL RESEARCH (HK) LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2011-01-18
60 WFM Asia (HK) Limited 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2013-11-05
61 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-04-19
62 WINNINGTON CAPITAL LIMITED 3 0 3 2 3 5 -1 3 2 0.00 60.00
63 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2024-07-30
64 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00
65 AD Capital Management (Hong Kong) Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2004-09-08
66 ADMIS Hong Kong Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
67 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2012-06-25
68 Ark Futures (Hong Kong) Limited 0 0 0 3 1 4 3 1 4 - 25.00 2006-02-07
69 BALLINGAL INVESTMENT ADVISORS LIMITED 3 0 3 4 0 4 1 0 1 0.00 0.00 2004-08-13
70 BEA Union Investment Management Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2022-07-12
71 CAPE ASSET MANAGEMENT LIMITED 0 0 0 4 0 4 4 0 4 - 0.00 2006-05-23 2024-03-13
72 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2007-07-12
73 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
74 Funderstone Futures Limited 1 2 3 2 2 4 1 0 1 66.67 50.00
75 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
76 HSBC GUYERZELLER FAR EAST LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2005-02-02 2009-08-31
77 MF Global Hong Kong Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2005-08-26
78 SATTVA INVESTMENT ADVISORS LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00 2003-10-30 2015-04-22
79 UPBEST COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
80 AKTIS CAPITAL ADVISORY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2003-11-29
81 AP Asset Management (HK) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2004-08-26 2013-12-04
82 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-05-07
83 BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2007-01-31
84 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2006-05-23 2017-07-25
85 EMPEROR FUTURES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
86 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
87 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
88 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-03-21
89 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
90 ICBC Asset Management (Global) Company Limited 2 1 3 3 0 3 1 -1 0 33.33 0.00
91 INVESCO HONG KONG LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
92 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
93 KGI FUTURES (HONG KONG) LIMITED 3 2 5 3 0 3 0 -2 -2 40.00 0.00
94 MAGUSTA FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-02-26
95 OVERLOOK INVESTMENTS LIMITED 2 0 2 1 2 3 -1 2 1 0.00 66.67 2010-01-05
96 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
97 ROCTEC INVESTMENT LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2005-09-16 2021-10-07
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 Yuanta Asia Investment (Hong Kong) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2003-08-13 2013-11-01
101 ASIA ABSOLUTE ADVISORS LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2004-08-19 2007-01-25
102 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-11-03
103 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
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 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-01-08 2020-02-04
108 Fortress Investment Group (Hong Kong) LLC 0 0 0 2 0 2 2 0 2 - 0.00 2006-06-07 2008-08-07
109 Funderstone Asset Management (HK) Limited 1 0 1 2 0 2 1 0 1 0.00 0.00 2013-11-14
110 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
111 INFINITI INVESTMENT MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2006-02-07 2010-05-10
112 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
113 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
114 LIM ADVISORS LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2021-02-17
115 Metaverse Securities Limited (HK) 2 1 3 2 0 2 0 -1 -1 33.33 0.00
116 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-09-05
117 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
118 PRUDENTIAL INDEX TRADING COMPANY LIMITED 1 1 2 1 1 2 0 0 0 50.00 50.00
119 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
120 VEGASOUL SERVICES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-07-22 2007-11-02
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 1 3 2 0 2 0 -1 -1 33.33 0.00 2015-02-09
123 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
124 SBI China Capital Commodities Limited 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2013-07-16
125 AFG CAPITAL ASSETS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2004-09-01 2006-07-28
126 CIBC Global Asset Management (Asia) Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2006-01-10
127 First Sentier Investors (Hong Kong) Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2006-08-29
128 FIRST STATE (HONG KONG) LLC 2 2 4 0 0 0 -2 -2 -4 50.00 - 2006-08-29
129 Legg Mason Asset Management Hong Kong Limited 2 5 7 0 0 0 -2 -5 -7 71.43 - 2006-09-25
130 Legg Mason International Equities (Hong Kong) Limited 2 5 7 0 0 0 -2 -5 -7 71.43 - 2006-09-25
131 Mackenzie Investments Asia Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2006-11-14
132 SAGE ASSET MANAGEMENT (HK) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2006-10-13
133 STRATEGIC OPTIONS INVESTMENT ADVISORS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-12-05
Average 2.40 2.98 5.38 2.59 3.85 6.44 55.47 59.82

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