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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2006-06-30 2007-06-30 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 3 56 59 2 73 75 -1 17 16 94.92 97.33 2005-09-22 2012-07-13
2 J.P. MORGAN BROKING (HONG KONG) LIMITED 3 28 31 3 44 47 0 16 16 90.32 93.62 2003-12-02
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 18 21 3 28 31 0 10 10 85.71 90.32 2004-10-14
4 JPMorgan Asset Management (Asia Pacific) Limited 3 25 28 2 27 29 -1 2 1 89.29 93.10
5 PHILLIP COMMODITIES (H.K.) LIMITED 2 16 18 2 19 21 0 3 3 88.89 90.48
6 AllianceBernstein Hong Kong Limited 2 6 8 3 16 19 1 10 11 75.00 84.21
7 GET NICE FUTURES COMPANY LIMITED 3 16 19 3 16 19 0 0 0 84.21 84.21
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 15 19 3 15 18 -1 0 -1 78.95 83.33
9 Morgan Stanley Asia Limited 3 1 4 4 13 17 1 12 13 25.00 76.47 2006-04-07
10 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 8 13 5 10 15 0 2 2 61.54 66.67
11 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 3 1 4 2 13 15 -1 12 11 25.00 86.67 2011-03-23
12 Oasis Management (Hong Kong) 2 8 10 2 13 15 0 5 5 80.00 86.67 2004-09-14
13 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 6 11 6 8 14 1 2 3 54.55 57.14
14 CHARLES SCHWAB, HONG KONG, LIMITED 5 10 15 5 9 14 0 -1 -1 66.67 64.29 2016-08-31
15 NOMURA INTERNATIONAL (HONG KONG) LIMITED 5 10 15 4 10 14 -1 0 -1 66.67 71.43
16 GOLDMAN SACHS (ASIA) L.L.C. 3 7 10 6 6 12 3 -1 2 70.00 50.00
17 Manulife Investment Management (Hong Kong) Limited 4 5 9 4 7 11 0 2 2 55.56 63.64
18 BEAR STEARNS ASIA LIMITED 2 6 8 3 7 10 1 1 2 75.00 70.00 2005-11-29 2010-04-28
19 HANG SENG FUTURES LIMITED 2 9 11 2 8 10 0 -1 -1 81.82 80.00 2017-11-17
20 OCP Asia (Hong Kong) Limited 2 1 3 2 8 10 0 7 7 33.33 80.00 2004-09-03 2022-06-13
21 AXA Investment Managers Asia Limited 3 4 7 3 6 9 0 2 2 57.14 66.67 2015-06-15
22 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2018-12-31
23 GOLDMAN SACHS FUTURES (ASIA) LIMITED 2 0 2 7 2 9 5 2 7 0.00 22.22 2016-10-10
24 Allianz Global Investors Asia Pacific Limited (SFC:AOA171) 0 0 0 3 5 8 3 5 8 - 62.50 2007-01-12 2015-05-31
25 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 4 7 3 5 8 0 1 1 57.14 62.50 2015-06-15
26 CLSA FUTURES LIMITED 2 3 5 3 5 8 1 2 3 60.00 62.50 2016-06-02
27 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
28 OLD PEAK LIMITED (HK) 2 4 6 2 6 8 0 2 2 66.67 75.00 2005-08-26 2023-06-20
29 BEAR STEARNS HONG KONG LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2009-05-14
30 CAPE ASSET MANAGEMENT LIMITED 3 0 3 4 3 7 1 3 4 0.00 42.86 2006-05-23 2024-03-13
31 HAITONG INTERNATIONAL FUTURES LIMITED 5 0 5 5 2 7 0 2 2 0.00 28.57
32 HAMON ASSET MANAGEMENT LIMITED 2 1 3 3 4 7 1 3 4 33.33 57.14
33 HSBC Global Asset Management (Hong Kong) Limited 4 7 11 2 5 7 -2 -2 -4 63.64 71.43
34 PFP Capital Limited 2 1 3 3 4 7 1 3 4 33.33 57.14
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 3 4 7 1 0 1 66.67 57.14 2008-02-14
38 Tyric Capital Limited 3 7 10 3 4 7 0 -3 -3 70.00 57.14 2003-11-13
39 AlTi Wealth Management (Hong Kong) Limited 2 4 6 3 3 6 1 -1 0 66.67 50.00 2004-05-11
40 AP Asset Management (HK) Limited 2 1 3 2 4 6 0 3 3 33.33 66.67 2004-08-26 2013-12-04
41 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
42 BOCI SECURITIES LIMITED 3 3 6 4 2 6 1 -1 0 50.00 33.33 2005-10-06
43 ELLIOTT ADVISORS (HK) LIMITED 2 6 8 2 4 6 0 -2 -2 75.00 66.67 2005-03-08 2022-03-16
44 FIL Investment Advisors 3 3 6 3 3 6 0 0 0 50.00 50.00
45 FIL Investment Management (Hong Kong) Limited 3 3 6 3 3 6 0 0 0 50.00 50.00
46 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 4 6 0 3 3 33.33 66.67 2024-03-21
47 Halbis Capital Management (Hong Kong) Limited 2 4 6 3 3 6 1 -1 0 66.67 50.00 2005-06-23 2012-05-11
48 PI INVESTMENT MANAGEMENT LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2007-09-28
49 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 5 7 2 4 6 0 -1 -1 71.43 66.67 2012-01-12
50 WFM Asia (HK) Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2013-11-05
51 AD Capital Management (Hong Kong) Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2004-09-08
52 Ark Futures (Hong Kong) Limited 3 1 4 2 3 5 -1 2 1 25.00 60.00 2006-02-07
53 BEA Union Investment Management Limited 2 2 4 3 2 5 1 0 1 50.00 40.00 2022-07-12
54 BLUE POOL CAPITAL LIMITED 2 0 2 2 3 5 0 3 3 0.00 60.00 2004-11-10 2015-12-01
55 BOCOM International Holdings Company Limited 5 0 5 5 0 5 0 0 0 0.00 0.00 2005-08-24 2010-03-09
56 CHIEF COMMODITIES LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2006-05-17 2025-08-31
57 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
58 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 3 0 3 3 2 5 0 2 2 0.00 40.00 2006-05-23 2017-07-25
59 ENHANCED INVESTMENT PRODUCTS LIMITED 2 0 2 2 3 5 0 3 3 0.00 60.00
60 GAM HONG KONG LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2013-06-19
61 GINGER CAPITAL MANAGEMENT LIMITED 2 2 4 4 1 5 2 -1 1 50.00 20.00 2004-11-18 2009-05-29
62 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
63 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 4 4 8 2 3 5 -2 -1 -3 50.00 60.00
64 MUSHK Limited 4 0 4 5 0 5 1 0 1 0.00 0.00 2011-06-01
65 PEACE TOWN FUTURES LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00 2012-09-27
66 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
67 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 2 4 3 2 5 1 0 1 50.00 40.00 2011-01-18
68 UPBEST COMMODITIES COMPANY LIMITED 2 2 4 3 2 5 1 0 1 50.00 40.00
69 WHARTON INVESTMENT ADVISORS LIMITED 2 0 2 2 3 5 0 3 3 0.00 60.00 2015-02-09
70 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-04-19
71 WINNINGTON CAPITAL LIMITED 3 3 6 2 3 5 -1 0 -1 50.00 60.00
72 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00
73 ADMIS Hong Kong Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
74 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2012-06-25
75 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
76 DEUTSCHE SECURITIES ASIA LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00 2004-01-08 2020-02-04
77 Funderstone Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00
78 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
79 HSBC Global Asset Management Holdings (Bahamas) Limited 3 3 6 2 2 4 -1 -1 -2 50.00 50.00 2020-06-02
80 HSBC GUYERZELLER FAR EAST LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-02-02 2009-08-31
81 Metaverse Securities Limited (HK) 2 0 2 2 2 4 0 2 2 0.00 50.00
82 MF Global Hong Kong Limited 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2005-08-26
83 AKTIS CAPITAL ADVISORY LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00 2003-11-29
84 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 1 2 3 -1 1 0 33.33 66.67 2014-05-07
85 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2010-11-03
86 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
87 Funderstone Asset Management (HK) Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2013-11-14
88 HSBC FUTURES (SINGAPORE) PTE LTD 0 0 0 3 0 3 3 0 3 - 0.00 2007-04-20 2012-08-08
89 ICBC Asset Management (Global) Company Limited 3 0 3 3 0 3 0 0 0 0.00 0.00
90 INVESCO HONG KONG LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
91 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
92 KGI FUTURES (HONG KONG) LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00
93 OVERLOOK INVESTMENTS LIMITED 1 0 1 2 1 3 1 1 2 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 SBI China Capital Commodities Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-07-16
96 SINOPAC FUTURES (ASIA) LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00 2014-09-25
97 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
98 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
99 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 1 3 0 1 1 0.00 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 BALLINGAL INVESTMENT ADVISORS LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2004-08-13
102 BOCI ASSET MANAGEMENT LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2014-12-24
103 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
104 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
105 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
106 EMPEROR FUTURES LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00
107 Fortress Investment Group (Hong Kong) LLC 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-06-07 2008-08-07
108 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
109 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-02-07 2010-05-10
110 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
111 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
112 LIM ADVISORS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2021-02-17
113 MAGUSTA FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-02-26
114 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2008-09-05
115 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
116 PRUDENTIAL INDEX TRADING COMPANY LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00
117 ROCTEC INVESTMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2005-09-16 2021-10-07
118 SATTVA INVESTMENT ADVISORS LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2003-10-30 2015-04-22
119 Standard Advisory Asia Limited 0 0 0 2 0 2 2 0 2 - 0.00 2007-03-09 2013-04-12
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 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-07-22 2007-11-02
122 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
123 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
124 Allianz Global Investors Hong Kong Limited 2 4 6 0 0 0 -2 -4 -6 66.67 - 2007-06-28
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 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2007-07-12
128 First Sentier Investors (Hong Kong) Limited 2 3 5 0 0 0 -2 -3 -5 60.00 - 2006-08-29
129 FIRST STATE (HONG KONG) LLC 2 3 5 0 0 0 -2 -3 -5 60.00 - 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 0 1 1 0 0 0 0 -1 -1 100.00 - 2006-09-25
132 Legg Mason International Equities (Hong Kong) Limited 0 1 1 0 0 0 0 -1 -1 100.00 - 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 1 0 1 0 0 0 -1 0 -1 0.00 - 2006-10-13
Average 2.48 3.26 5.74 2.67 4.42 7.10 56.78 62.31

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