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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2006-03-31 2007-03-31 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 59 62 2 74 76 -1 15 14 95.16 97.37 2005-09-22 2012-07-13
2 J.P. MORGAN BROKING (HONG KONG) LIMITED 3 27 30 3 38 41 0 11 11 90.00 92.68 2003-12-02
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 14 17 3 30 33 0 16 16 82.35 90.91 2004-10-14
4 JPMorgan Asset Management (Asia Pacific) Limited 3 25 28 2 26 28 -1 1 0 89.29 92.86
5 AllianceBernstein Hong Kong Limited 3 3 6 2 17 19 -1 14 13 50.00 89.47
6 PHILLIP COMMODITIES (H.K.) LIMITED 2 14 16 2 17 19 0 3 3 87.50 89.47
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 13 17 3 16 19 -1 3 2 76.47 84.21
8 GET NICE FUTURES COMPANY LIMITED 4 15 19 3 15 18 -1 0 -1 78.95 83.33
9 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 4 7 11 5 12 17 1 5 6 63.64 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 4 6 2 12 14 0 8 8 66.67 85.71 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 9 13 4 8 12 0 -1 -1 69.23 66.67
16 HANG SENG FUTURES LIMITED 3 10 13 2 9 11 -1 -1 -2 76.92 81.82 2017-11-17
17 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 9 11 2 8 10 0 -1 -1 81.82 80.00 2018-12-31
18 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 3 1 4 2 8 10 -1 7 6 25.00 80.00 2011-03-23
19 Manulife Investment Management (Hong Kong) Limited 4 5 9 4 6 10 0 1 1 55.56 60.00
20 AXA Investment Managers Asia Limited 3 3 6 3 6 9 0 3 3 50.00 66.67 2015-06-15
21 CLSA FUTURES LIMITED 2 3 5 3 6 9 1 3 4 60.00 66.67 2016-06-02
22 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 3 6 3 5 8 0 2 2 50.00 62.50 2015-06-15
23 BEAR STEARNS ASIA LIMITED 2 6 8 2 6 8 0 0 0 75.00 75.00 2005-11-29 2010-04-28
24 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
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 4 6 3 4 7 1 0 1 66.67 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 ELLIOTT ADVISORS (HK) LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2005-03-08 2022-03-16
30 HAITONG INTERNATIONAL FUTURES LIMITED 5 0 5 5 2 7 0 2 2 0.00 28.57
31 HSBC Global Asset Management (Hong Kong) Limited 3 8 11 2 5 7 -1 -3 -4 72.73 71.43
32 OCP Asia (Hong Kong) Limited 2 1 3 2 5 7 0 4 4 33.33 71.43 2004-09-03 2022-06-13
33 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2013-11-25
34 Standard Commodities (Asia) Limited 2 5 7 3 4 7 1 -1 0 71.43 57.14 2008-05-16
35 TC Investment Management (Asia) Limited 2 4 6 3 4 7 1 0 1 66.67 57.14 2008-02-14
36 Tyric Capital Limited 3 8 11 3 4 7 0 -4 -4 72.73 57.14 2003-11-13
37 AlTi Wealth Management (Hong Kong) Limited 2 5 7 3 3 6 1 -2 -1 71.43 50.00 2004-05-11
38 BOCI COMMODITIES & FUTURES LIMITED 4 3 7 3 3 6 -1 0 -1 42.86 50.00 2004-11-17
39 BOCI SECURITIES LIMITED 4 3 7 4 2 6 0 -1 -1 42.86 33.33 2005-10-06
40 FIL Investment Advisors 3 2 5 3 3 6 0 1 1 40.00 50.00
41 FIL Investment Management (Hong Kong) Limited 3 2 5 3 3 6 0 1 1 40.00 50.00
42 GOLDMAN SACHS FUTURES (ASIA) LIMITED 2 0 2 5 1 6 3 1 4 0.00 16.67 2016-10-10
43 HAMON ASSET MANAGEMENT LIMITED 2 0 2 3 3 6 1 3 4 0.00 50.00
44 OLD PEAK LIMITED (HK) 2 3 5 2 4 6 0 1 1 60.00 66.67 2005-08-26 2023-06-20
45 PFP Capital Limited 2 0 2 3 3 6 1 3 4 0.00 50.00
46 PI INVESTMENT MANAGEMENT LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2007-09-28
47 WFM Asia (HK) Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2013-11-05
48 AD Capital Management (Hong Kong) Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2004-09-08
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 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2024-03-21
57 GAM HONG KONG LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2013-06-19
58 GINGER CAPITAL MANAGEMENT LIMITED 2 2 4 4 1 5 2 -1 1 50.00 20.00 2004-11-18 2009-05-29
59 Halbis Capital Management (Hong Kong) Limited 2 4 6 3 2 5 1 -2 -1 66.67 40.00 2005-06-23 2012-05-11
60 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 3 4 7 2 3 5 -1 -1 -2 57.14 60.00
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 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
65 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 5 7 2 3 5 0 -2 -2 71.43 60.00 2012-01-12
66 SOFAER GLOBAL RESEARCH (HK) LIMITED 1 1 2 3 2 5 2 1 3 50.00 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 2 4 2 2 4 0 0 0 50.00 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 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
76 HSBC Global Asset Management Holdings (Bahamas) Limited 3 3 6 2 2 4 -1 -1 -2 50.00 50.00 2020-06-02
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 UPBEST COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
79 WHARTON INVESTMENT ADVISORS LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00 2015-02-09
80 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33
81 AKTIS CAPITAL ADVISORY LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00 2003-11-29
82 BALLINGAL INVESTMENT ADVISORS LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2004-08-13
83 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2010-11-03
84 DEUTSCHE SECURITIES ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2004-01-08 2020-02-04
85 EMPEROR FUTURES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
86 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
87 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
88 ICBC Asset Management (Global) Company Limited 3 0 3 3 0 3 0 0 0 0.00 0.00
89 INVESCO HONG KONG LIMITED 4 0 4 3 0 3 -1 0 -1 0.00 0.00
90 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
91 KGI FUTURES (HONG KONG) LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
92 Metaverse Securities Limited (HK) 2 1 3 2 1 3 0 0 0 33.33 33.33
93 OVERLOOK INVESTMENTS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2010-01-05
94 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
95 SATTVA INVESTMENT ADVISORS LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2003-10-30 2015-04-22
96 SBI China Capital Commodities Limited 2 1 3 3 0 3 1 -1 0 33.33 0.00 2013-07-16
97 SINOPAC FUTURES (ASIA) LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 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 Standard Advisory Asia Limited 0 0 0 3 0 3 3 0 3 - 0.00 2007-03-09 2013-04-12
100 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
101 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
102 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-07-30
103 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2014-05-07
104 BOCI ASSET MANAGEMENT LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2014-12-24
105 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
106 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
107 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
108 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00
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 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
111 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
112 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-02-07 2010-05-10
113 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
114 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
115 LIM ADVISORS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2021-02-17
116 MAGUSTA FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-02-26
117 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-09-05
118 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
119 PRUDENTIAL INDEX TRADING COMPANY LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00
120 ROCTEC INVESTMENT LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2005-09-16 2021-10-07
121 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
122 VEGASOUL SERVICES LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2005-07-22 2007-11-02
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 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
125 AFG CAPITAL ASSETS LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2004-09-01 2006-07-28
126 ASIA ABSOLUTE ADVISORS LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2004-08-19 2007-01-25
127 BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2007-01-31
128 First Sentier Investors (Hong Kong) Limited 0 4 4 0 0 0 0 -4 -4 100.00 - 2006-08-29
129 FIRST STATE (HONG KONG) LLC 0 4 4 0 0 0 0 -4 -4 100.00 - 2006-08-29
130 GT CAPITAL LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2006-03-03 2006-09-11
131 Legg Mason Asset Management Hong Kong Limited 2 4 6 0 0 0 -2 -4 -6 66.67 - 2006-09-25
132 Legg Mason International Equities (Hong Kong) Limited 2 4 6 0 0 0 -2 -4 -6 66.67 - 2006-09-25
133 Mackenzie Investments Asia Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2006-11-14
134 SAGE ASSET MANAGEMENT (HK) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2006-10-13
Average 2.48 3.24 5.72 2.61 4.23 6.84 56.61 61.79

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