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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2006-02-28 2007-02-28 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 3 58 61 2 72 74 -1 14 13 95.08 97.30 2005-09-22 2012-07-13
2 J.P. MORGAN BROKING (HONG KONG) LIMITED 3 29 32 3 37 40 0 8 8 90.63 92.50 2003-12-02
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 16 19 3 30 33 0 14 14 84.21 90.91 2004-10-14
4 JPMorgan Asset Management (Asia Pacific) Limited 3 26 29 2 25 27 -1 -1 -2 89.66 92.59
5 PHILLIP COMMODITIES (H.K.) LIMITED 2 14 16 2 18 20 0 4 4 87.50 90.00
6 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 13 17 3 17 20 -1 4 3 76.47 85.00
7 GET NICE FUTURES COMPANY LIMITED 4 15 19 3 16 19 -1 1 0 78.95 84.21
8 AllianceBernstein Hong Kong Limited 3 3 6 2 15 17 -1 12 11 50.00 88.24
9 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 3 9 12 5 12 17 2 3 5 75.00 70.59
10 CHARLES SCHWAB, HONG KONG, LIMITED 3 10 13 5 12 17 2 2 4 76.92 70.59 2016-08-31
11 Morgan Stanley Asia Limited 0 0 0 4 12 16 4 12 16 - 75.00 2006-04-07
12 Oasis Management (Hong Kong) 2 1 3 2 13 15 0 12 12 33.33 86.67 2004-09-14
13 GOLDMAN SACHS (ASIA) L.L.C. 3 5 8 5 8 13 2 3 5 62.50 61.54
14 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 4 9 4 8 12 -1 4 3 44.44 66.67
15 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 10 14 4 8 12 0 -2 -2 71.43 66.67
16 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 9 11 2 8 10 0 -1 -1 81.82 80.00 2018-12-31
17 HANG SENG FUTURES LIMITED 3 10 13 2 8 10 -1 -2 -3 76.92 80.00 2017-11-17
18 AXA Investment Managers Asia Limited 3 3 6 3 6 9 0 3 3 50.00 66.67 2015-06-15
19 HSBC Global Asset Management (Hong Kong) Limited 3 8 11 2 7 9 -1 -1 -2 72.73 77.78
20 Manulife Investment Management (Hong Kong) Limited 4 5 9 3 6 9 -1 1 0 55.56 66.67
21 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 3 6 3 5 8 0 2 2 50.00 62.50 2015-06-15
22 BEAR STEARNS ASIA LIMITED 2 6 8 2 6 8 0 0 0 75.00 75.00 2005-11-29 2010-04-28
23 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
24 OLD PEAK LIMITED (HK) 2 2 4 3 5 8 1 3 4 50.00 62.50 2005-08-26 2023-06-20
25 Allianz Global Investors Asia Pacific Limited (SFC:AOA171) 0 0 0 2 5 7 2 5 7 - 71.43 2007-01-12 2015-05-31
26 Allianz Global Investors Hong Kong Limited 2 3 5 3 4 7 1 1 2 60.00 57.14 2007-06-28
27 BEAR STEARNS HONG KONG LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2009-05-14
28 CAPE ASSET MANAGEMENT LIMITED 0 0 0 4 3 7 4 3 7 - 42.86 2006-05-23 2024-03-13
29 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 3 1 4 2 5 7 -1 4 3 25.00 71.43 2011-03-23
30 CLSA FUTURES LIMITED 2 3 5 1 6 7 -1 3 2 60.00 85.71 2016-06-02
31 ELLIOTT ADVISORS (HK) LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2005-03-08 2022-03-16
32 HAITONG INTERNATIONAL FUTURES LIMITED 5 0 5 5 2 7 0 2 2 0.00 28.57
33 OCP Asia (Hong Kong) Limited 2 1 3 2 5 7 0 4 4 33.33 71.43 2004-09-03 2022-06-13
34 PI INVESTMENT MANAGEMENT LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14 2007-09-28
35 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2013-11-25
36 Standard Commodities (Asia) Limited 2 5 7 3 4 7 1 -1 0 71.43 57.14 2008-05-16
37 TC Investment Management (Asia) Limited 2 4 6 2 5 7 0 1 1 66.67 71.43 2008-02-14
38 Tyric Capital Limited 3 7 10 3 4 7 0 -3 -3 70.00 57.14 2003-11-13
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 4 3 7 4 2 6 0 -1 -1 42.86 33.33 2005-10-06
41 FIL Investment Advisors 3 2 5 3 3 6 0 1 1 40.00 50.00
42 FIL Investment Management (Hong Kong) Limited 3 2 5 3 3 6 0 1 1 40.00 50.00
43 GOLDMAN SACHS FUTURES (ASIA) LIMITED 2 0 2 5 1 6 3 1 4 0.00 16.67 2016-10-10
44 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 3 4 7 2 4 6 -1 0 -1 57.14 66.67
45 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2012-01-12
46 WFM Asia (HK) Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2013-11-05
47 AD Capital Management (Hong Kong) Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2004-09-08
48 AlTi Wealth Management (Hong Kong) Limited 2 5 7 2 3 5 0 -2 -2 71.43 60.00 2004-05-11
49 AP Asset Management (HK) Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2004-08-26 2013-12-04
50 BEA Union Investment Management Limited 2 2 4 3 2 5 1 0 1 50.00 40.00 2022-07-12
51 BLUE POOL CAPITAL LIMITED 2 0 2 2 3 5 0 3 3 0.00 60.00 2004-11-10 2015-12-01
52 BOCOM International Holdings Company Limited 5 0 5 5 0 5 0 0 0 0.00 0.00 2005-08-24 2010-03-09
53 CHIEF COMMODITIES LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2006-05-17 2025-08-31
54 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
55 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 0 0 0 3 2 5 3 2 5 - 40.00 2006-05-23 2017-07-25
56 GAM HONG KONG LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2013-06-19
57 GINGER CAPITAL MANAGEMENT LIMITED 3 2 5 4 1 5 1 -1 0 40.00 20.00 2004-11-18 2009-05-29
58 Halbis Capital Management (Hong Kong) Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2005-06-23 2012-05-11
59 HAMON ASSET MANAGEMENT LIMITED 2 1 3 3 2 5 1 1 2 33.33 40.00
60 HSBC Global Asset Management Holdings (Bahamas) Limited 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2020-06-02
61 MF Global Hong Kong Limited 3 2 5 2 3 5 -1 1 0 40.00 60.00 2005-08-26
62 MUSHK Limited 4 0 4 4 1 5 0 1 1 0.00 20.00 2011-06-01
63 PEACE TOWN FUTURES LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00 2012-09-27
64 PFP Capital Limited 2 1 3 3 2 5 1 1 2 33.33 40.00
65 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
66 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 1 3 3 2 5 1 1 2 33.33 40.00 2011-01-18
67 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-04-19
68 WINNINGTON CAPITAL LIMITED 3 1 4 2 3 5 -1 2 1 25.00 60.00
69 ADMIS Hong Kong Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
70 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2012-06-25
71 Ark Futures (Hong Kong) Limited 4 1 5 3 1 4 -1 0 -1 20.00 25.00 2006-02-07
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 2 2 4 2 2 4 0 0 0 50.00 50.00
75 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2024-03-21
76 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
77 HSBC GUYERZELLER FAR EAST LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-02-02 2009-08-31
78 SINOPAC FUTURES (ASIA) LIMITED 3 0 3 4 0 4 1 0 1 0.00 0.00 2014-09-25
79 UPBEST COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
80 WHARTON INVESTMENT ADVISORS LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00 2015-02-09
81 YUE XIU FUTURES COMPANY LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2024-07-30
82 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
83 AKTIS CAPITAL ADVISORY LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00 2003-11-29
84 BALLINGAL INVESTMENT ADVISORS LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2004-08-13
85 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2010-11-03
86 DEUTSCHE SECURITIES ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2004-01-08 2020-02-04
87 EMPEROR FUTURES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
88 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
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 3 0 3 3 0 3 0 0 0 0.00 0.00
91 INVESCO HONG KONG LIMITED 4 0 4 2 1 3 -2 1 -1 0.00 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 0 3 3 0 3 0 0 0 0.00 0.00
94 Metaverse Securities Limited (HK) 2 1 3 2 1 3 0 0 0 33.33 33.33
95 OVERLOOK INVESTMENTS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 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 SATTVA INVESTMENT ADVISORS LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2003-10-30 2015-04-22
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 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
101 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
102 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2014-05-07
103 BOCI ASSET MANAGEMENT LIMITED 3 0 3 2 0 2 -1 0 -1 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 Fortress Investment Group (Hong Kong) LLC 0 0 0 2 0 2 2 0 2 - 0.00 2006-06-07 2008-08-07
108 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
109 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
110 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-02-07 2010-05-10
111 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 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 LIM ADVISORS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2021-02-17
114 MAGUSTA FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-02-26
115 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-09-05
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 2 0 2 1 -1 0 50.00 0.00
118 ROCTEC INVESTMENT LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2005-09-16 2021-10-07
119 SBI China Capital Commodities Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-07-16
120 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
121 VEGASOUL SERVICES LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2005-07-22 2007-11-02
122 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
123 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 1 0 1 -1 -1 -2 33.33 0.00
124 AFG CAPITAL ASSETS LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-09-01 2006-07-28
125 ASIA ABSOLUTE ADVISORS LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2004-08-19 2007-01-25
126 BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2007-01-31
127 First Sentier Investors (Hong Kong) Limited 0 4 4 0 0 0 0 -4 -4 100.00 - 2006-08-29
128 FIRST STATE (HONG KONG) LLC 0 4 4 0 0 0 0 -4 -4 100.00 - 2006-08-29
129 Legg Mason Asset Management Hong Kong Limited 2 4 6 0 0 0 -2 -4 -6 66.67 - 2006-09-25
130 Legg Mason International Equities (Hong Kong) Limited 2 4 6 0 0 0 -2 -4 -6 66.67 - 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
Average 2.50 3.27 5.77 2.58 4.26 6.84 56.67 62.31

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