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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2006-04-30 2007-04-30 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 3 58 61 2 74 76 -1 16 15 95.08 97.37 2005-09-22 2012-07-13
2 J.P. MORGAN BROKING (HONG KONG) LIMITED 3 30 33 3 39 42 0 9 9 90.91 92.86 2003-12-02
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 14 17 3 29 32 0 15 15 82.35 90.63 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 3 16 19 0 13 13 50.00 84.21
6 GET NICE FUTURES COMPANY LIMITED 4 15 19 3 16 19 -1 1 0 78.95 84.21
7 PHILLIP COMMODITIES (H.K.) LIMITED 2 15 17 2 16 18 0 1 1 88.24 88.89
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 13 17 3 15 18 -1 2 1 76.47 83.33
9 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 8 13 5 12 17 0 4 4 61.54 70.59
10 CHARLES SCHWAB, HONG KONG, LIMITED 3 9 12 5 12 17 2 3 5 75.00 70.59 2016-08-31
11 Morgan Stanley Asia Limited 2 1 3 4 12 16 2 11 13 33.33 75.00 2006-04-07
12 Oasis Management (Hong Kong) 2 5 7 2 12 14 0 7 7 71.43 85.71 2004-09-14
13 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 3 1 4 2 11 13 -1 10 9 25.00 84.62 2011-03-23
14 GOLDMAN SACHS (ASIA) L.L.C. 3 6 9 5 8 13 2 2 4 66.67 61.54
15 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 10 14 4 9 13 0 -1 -1 71.43 69.23
16 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 4 9 5 7 12 0 3 3 44.44 58.33
17 HANG SENG FUTURES LIMITED 3 10 13 2 9 11 -1 -1 -2 76.92 81.82 2017-11-17
18 Manulife Investment Management (Hong Kong) Limited 4 5 9 4 6 10 0 1 1 55.56 60.00
19 AXA Investment Managers Asia Limited 3 3 6 3 6 9 0 3 3 50.00 66.67 2015-06-15
20 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 8 10 2 7 9 0 -1 -1 80.00 77.78 2018-12-31
21 CLSA FUTURES LIMITED 2 3 5 3 6 9 1 3 4 60.00 66.67 2016-06-02
22 GOLDMAN SACHS FUTURES (ASIA) LIMITED 2 0 2 6 3 9 4 3 7 0.00 33.33 2016-10-10
23 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 3 6 3 5 8 0 2 2 50.00 62.50 2015-06-15
24 BEAR STEARNS ASIA LIMITED 2 6 8 2 6 8 0 0 0 75.00 75.00 2005-11-29 2010-04-28
25 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
26 OCP Asia (Hong Kong) Limited 2 1 3 2 6 8 0 5 5 33.33 75.00 2004-09-03 2022-06-13
27 Allianz Global Investors Asia Pacific Limited (SFC:AOA171) 0 0 0 3 4 7 3 4 7 - 57.14 2007-01-12 2015-05-31
28 BEAR STEARNS HONG KONG LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2009-05-14
29 CAPE ASSET MANAGEMENT LIMITED 0 0 0 4 3 7 4 3 7 - 42.86 2006-05-23 2024-03-13
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 4 7 11 2 5 7 -2 -2 -4 63.64 71.43
32 OLD PEAK LIMITED (HK) 2 4 6 2 5 7 0 1 1 66.67 71.43 2005-08-26 2023-06-20
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 ELLIOTT ADVISORS (HK) LIMITED 2 6 8 2 4 6 0 -2 -2 75.00 66.67 2005-03-08 2022-03-16
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 HAMON ASSET MANAGEMENT LIMITED 2 0 2 3 3 6 1 3 4 0.00 50.00
44 PFP Capital Limited 2 0 2 3 3 6 1 3 4 0.00 50.00
45 PI INVESTMENT MANAGEMENT LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2007-09-28
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 AP Asset Management (HK) Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2004-08-26 2013-12-04
49 BEA Union Investment Management Limited 2 2 4 3 2 5 1 0 1 50.00 40.00 2022-07-12
50 BLUE POOL CAPITAL LIMITED 2 0 2 2 3 5 0 3 3 0.00 60.00 2004-11-10 2015-12-01
51 BOCOM International Holdings Company Limited 5 0 5 5 0 5 0 0 0 0.00 0.00 2005-08-24 2010-03-09
52 CHIEF COMMODITIES LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2006-05-17 2025-08-31
53 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
54 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 0 0 0 3 2 5 3 2 5 - 40.00 2006-05-23 2017-07-25
55 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2024-03-21
56 GAM HONG KONG LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2013-06-19
57 GINGER CAPITAL MANAGEMENT LIMITED 2 2 4 4 1 5 2 -1 1 50.00 20.00 2004-11-18 2009-05-29
58 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
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 4 4 8 2 3 5 -2 -1 -3 50.00 60.00
61 MUSHK Limited 4 0 4 4 1 5 0 1 1 0.00 20.00 2011-06-01
62 PEACE TOWN FUTURES LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00 2012-09-27
63 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
64 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 5 7 2 3 5 0 -2 -2 71.43 60.00 2012-01-12
65 SOFAER GLOBAL RESEARCH (HK) LIMITED 1 1 2 3 2 5 2 1 3 50.00 40.00 2011-01-18
66 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-04-19
67 WINNINGTON CAPITAL LIMITED 3 1 4 2 3 5 -1 2 1 25.00 60.00
68 ADMIS Hong Kong Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
69 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2012-06-25
70 Ark Futures (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-02-07
71 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2007-07-12
72 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
73 Funderstone Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00
74 HSBC Global Asset Management Holdings (Bahamas) Limited 3 3 6 2 2 4 -1 -1 -2 50.00 50.00 2020-06-02
75 HSBC GUYERZELLER FAR EAST LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-02-02 2009-08-31
76 MF Global Hong Kong Limited 3 3 6 2 2 4 -1 -1 -2 50.00 50.00 2005-08-26
77 UPBEST COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
78 WHARTON INVESTMENT ADVISORS LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00 2015-02-09
79 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33
80 AKTIS CAPITAL ADVISORY LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00 2003-11-29
81 BALLINGAL INVESTMENT ADVISORS LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2004-08-13
82 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2010-11-03
83 DEUTSCHE SECURITIES ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2004-01-08 2020-02-04
84 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
85 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
86 ICBC Asset Management (Global) Company Limited 3 0 3 3 0 3 0 0 0 0.00 0.00
87 INVESCO HONG KONG LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
88 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
89 KGI FUTURES (HONG KONG) LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
90 Metaverse Securities Limited (HK) 2 1 3 2 1 3 0 0 0 33.33 33.33
91 OVERLOOK INVESTMENTS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2010-01-05
92 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
93 SATTVA INVESTMENT ADVISORS LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2003-10-30 2015-04-22
94 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
95 SINOPAC FUTURES (ASIA) LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2014-09-25
96 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
97 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
98 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
99 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-07-30
100 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2014-05-07
101 BOCI ASSET MANAGEMENT LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2014-12-24
102 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
103 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
104 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
105 EMPEROR FUTURES LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00
106 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00
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 HSBC FUTURES (SINGAPORE) PTE LTD 0 0 0 2 0 2 2 0 2 - 0.00 2007-04-20 2012-08-08
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 2 0 2 2 0 2 0 0 0 0.00 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 1 3 2 0 2 0 -1 -1 33.33 0.00 2021-02-17
115 MAGUSTA FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-02-26
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 2 0 2 1 -1 0 50.00 0.00
119 ROCTEC INVESTMENT LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2005-09-16 2021-10-07
120 Standard Advisory Asia Limited 0 0 0 1 1 2 1 1 2 - 50.00 2007-03-09 2013-04-12
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 0 1 2 0 2 1 0 1 0.00 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 Allianz Global Investors Hong Kong Limited 2 4 6 0 0 0 -2 -4 -6 66.67 - 2007-06-28
127 ASIA ABSOLUTE ADVISORS LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2004-08-19 2007-01-25
128 BENDURA WEALTH MANAGEMENT (HONG KONG) LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2007-01-31
129 First Sentier Investors (Hong Kong) Limited 0 3 3 0 0 0 0 -3 -3 100.00 - 2006-08-29
130 FIRST STATE (HONG KONG) LLC 0 3 3 0 0 0 0 -3 -3 100.00 - 2006-08-29
131 GT CAPITAL LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2006-03-03 2006-09-11
132 Legg Mason Asset Management Hong Kong Limited 2 6 8 0 0 0 -2 -6 -8 75.00 - 2006-09-25
133 Legg Mason International Equities (Hong Kong) Limited 2 6 8 0 0 0 -2 -6 -8 75.00 - 2006-09-25
134 Mackenzie Investments Asia Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2006-11-14
135 SAGE ASSET MANAGEMENT (HK) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2006-10-13
Average 2.48 3.27 5.74 2.62 4.21 6.83 56.87 61.63

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