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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2006-08-31 2007-08-31 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 62 65 3 70 73 0 8 8 95.38 95.89 2005-09-22 2012-07-13
2 J.P. MORGAN BROKING (HONG KONG) LIMITED 3 33 36 3 55 58 0 22 22 91.67 94.83 2003-12-02
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 24 27 3 30 33 0 6 6 88.89 90.91 2004-10-14
4 JPMorgan Asset Management (Asia Pacific) Limited 2 25 27 2 29 31 0 4 4 92.59 93.55
5 Morgan Stanley Asia Limited 3 2 5 4 18 22 1 16 17 40.00 81.82 2006-04-07
6 PHILLIP COMMODITIES (H.K.) LIMITED 2 16 18 2 19 21 0 3 3 88.89 90.48
7 AllianceBernstein Hong Kong Limited 2 11 13 3 15 18 1 4 5 84.62 83.33
8 GET NICE FUTURES COMPANY LIMITED 3 16 19 3 15 18 0 -1 -1 84.21 83.33
9 Oasis Management (Hong Kong) 2 8 10 2 16 18 0 8 8 80.00 88.89 2004-09-14
10 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 17 21 5 13 18 1 -4 -3 80.95 72.22
11 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 4 8 12 5 11 16 1 3 4 66.67 68.75
12 CHARLES SCHWAB, HONG KONG, LIMITED 5 11 16 5 11 16 0 0 0 68.75 68.75 2016-08-31
13 HSBC FUTURES (SINGAPORE) PTE LTD 0 0 0 3 13 16 3 13 16 - 81.25 2007-04-20 2012-08-08
14 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 6 11 5 9 14 0 3 3 54.55 64.29
15 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 3 1 4 2 12 14 -1 11 10 25.00 85.71 2011-03-23
16 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 7 11 4 10 14 0 3 3 63.64 71.43
17 GOLDMAN SACHS (ASIA) L.L.C. 5 7 12 6 7 13 1 0 1 58.33 53.85
18 Manulife Investment Management (Hong Kong) Limited 4 5 9 4 8 12 0 3 3 55.56 66.67
19 BEAR STEARNS ASIA LIMITED 2 5 7 3 8 11 1 3 4 71.43 72.73 2005-11-29 2010-04-28
20 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 2 6 8 3 11 4 1 5 33.33 27.27 2016-10-10
21 HAITONG INTERNATIONAL FUTURES LIMITED 5 0 5 5 5 10 0 5 5 0.00 50.00
22 OCP Asia (Hong Kong) Limited 2 5 7 2 8 10 0 3 3 71.43 80.00 2004-09-03 2022-06-13
23 AXA Investment Managers Asia Limited 3 4 7 3 6 9 0 2 2 57.14 66.67 2015-06-15
24 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 9 11 2 7 9 0 -2 -2 81.82 77.78 2018-12-31
25 HANG SENG FUTURES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
26 OLD PEAK LIMITED (HK) 2 4 6 3 6 9 1 2 3 66.67 66.67 2005-08-26 2023-06-20
27 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 4 7 3 5 8 0 1 1 57.14 62.50 2015-06-15
28 CLSA FUTURES LIMITED 2 4 6 3 5 8 1 1 2 66.67 62.50 2016-06-02
29 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
30 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
31 BEAR STEARNS HONG KONG LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2009-05-14
32 CAPE ASSET MANAGEMENT LIMITED 4 0 4 4 3 7 0 3 3 0.00 42.86 2006-05-23 2024-03-13
33 Halbis Capital Management (Hong Kong) Limited 2 4 6 4 3 7 2 -1 1 66.67 42.86 2005-06-23 2012-05-11
34 HSBC Global Asset Management (Hong Kong) Limited 3 7 10 2 5 7 -1 -2 -3 70.00 71.43
35 PI INVESTMENT MANAGEMENT LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14 2007-09-28
36 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2013-11-25
37 Standard Commodities (Asia) Limited 2 5 7 3 4 7 1 -1 0 71.43 57.14 2008-05-16
38 TC Investment Management (Asia) Limited 2 4 6 3 4 7 1 0 1 66.67 57.14 2008-02-14
39 Tyric Capital Limited 3 6 9 3 4 7 0 -2 -2 66.67 57.14 2003-11-13
40 WINNINGTON CAPITAL LIMITED 2 3 5 2 5 7 0 2 2 60.00 71.43
41 AlTi Wealth Management (Hong Kong) Limited 2 4 6 3 3 6 1 -1 0 66.67 50.00 2004-05-11
42 AP Asset Management (HK) Limited 2 1 3 2 4 6 0 3 3 33.33 66.67 2004-08-26 2013-12-04
43 Ark Futures (Hong Kong) Limited 3 1 4 2 4 6 -1 3 2 25.00 66.67 2006-02-07
44 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
45 BOCI SECURITIES LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2005-10-06
46 ELLIOTT ADVISORS (HK) LIMITED 2 6 8 2 4 6 0 -2 -2 75.00 66.67 2005-03-08 2022-03-16
47 FIL Investment Advisors 3 4 7 3 3 6 0 -1 -1 57.14 50.00
48 FIL Investment Management (Hong Kong) Limited 3 4 7 3 3 6 0 -1 -1 57.14 50.00
49 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 3 3 6 1 2 3 33.33 50.00 2024-03-21
50 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 2 4 2 4 6 0 2 2 50.00 66.67
51 HAMON ASSET MANAGEMENT LIMITED 2 2 4 2 4 6 0 2 2 50.00 66.67
52 PFP Capital Limited 2 2 4 2 4 6 0 2 2 50.00 66.67
53 WFM Asia (HK) Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2013-11-05
54 AD Capital Management (Hong Kong) Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2004-09-08
55 BLUE POOL CAPITAL LIMITED 2 3 5 3 2 5 1 -1 0 60.00 40.00 2004-11-10 2015-12-01
56 BOCOM International Holdings Company Limited 5 0 5 5 0 5 0 0 0 0.00 0.00 2005-08-24 2010-03-09
57 CHIEF COMMODITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2006-05-17 2025-08-31
58 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
59 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 3 0 3 3 2 5 0 2 2 0.00 40.00 2006-05-23 2017-07-25
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 4 1 5 4 1 5 0 0 0 20.00 20.00 2004-11-18 2009-05-29
62 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 3 4 7 2 3 5 -1 -1 -2 57.14 60.00
63 MUSHK Limited 4 1 5 5 0 5 1 -1 0 20.00 0.00 2011-06-01
64 PEACE TOWN FUTURES LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00 2012-09-27
65 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
66 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 5 7 2 3 5 0 -2 -2 71.43 60.00 2012-01-12
67 SOFAER GLOBAL RESEARCH (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 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 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
72 ADMIS Hong Kong Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
73 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2012-06-25
74 BEA Union Investment Management Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2022-07-12
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 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
78 Funderstone Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00
79 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
80 HSBC Global Asset Management Holdings (Bahamas) Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2020-06-02
81 HSBC GUYERZELLER FAR EAST LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-02-02 2009-08-31
82 Metaverse Securities Limited (HK) 2 0 2 2 2 4 0 2 2 0.00 50.00
83 MF Global Hong Kong Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2005-08-26
84 OVERLOOK INVESTMENTS LIMITED 1 2 3 2 2 4 1 0 1 66.67 50.00 2010-01-05
85 AKTIS CAPITAL ADVISORY LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00 2003-11-29
86 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 1 2 3 -1 1 0 33.33 66.67 2014-05-07
87 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2010-11-03
88 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
89 Funderstone Asset Management (HK) Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2013-11-14
90 ICBC Asset Management (Global) Company 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 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
94 SBI China Capital Commodities Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-07-16
95 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
96 Standard Advisory Asia Limited 0 0 0 3 0 3 3 0 3 - 0.00 2007-03-09 2013-04-12
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 BALLINGAL INVESTMENT ADVISORS LIMITED 4 0 4 2 0 2 -2 0 -2 0.00 0.00 2004-08-13
100 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
101 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
102 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
103 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
104 EMPEROR FUTURES LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00
105 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
106 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
107 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-02-07 2010-05-10
108 INVESCO HONG KONG LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00
109 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
110 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
111 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
112 MAGUSTA FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-02-26
113 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-09-05
114 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
115 PRUDENTIAL INDEX TRADING COMPANY LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00
116 ROCTEC INVESTMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2005-09-16 2021-10-07
117 SATTVA INVESTMENT ADVISORS LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2003-10-30 2015-04-22
118 SINOPAC FUTURES (ASIA) LIMITED 3 2 5 2 0 2 -1 -2 -3 40.00 0.00 2014-09-25
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 Yuanta Asia Investment (Hong Kong) Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2003-08-13 2013-11-01
122 YUE XIU FUTURES COMPANY LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2024-07-30
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 2 0 2 0 0 0 -2 0 -2 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 Mackenzie Investments Asia Limited 1 2 3 0 0 0 -1 -2 -3 66.67 - 2006-11-14
129 SAGE ASSET MANAGEMENT (HK) LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2006-10-13
Average 2.55 3.63 6.17 2.70 4.73 7.43 58.74 63.68

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