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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2006-09-30 2007-09-30 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 2 71 73 3 71 74 1 0 1 97.26 95.95 2005-09-22 2012-07-13
2 J.P. MORGAN BROKING (HONG KONG) LIMITED 3 35 38 3 58 61 0 23 23 92.11 95.08 2003-12-02
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 24 27 3 31 34 0 7 7 88.89 91.18 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 4 3 7 4 19 23 0 16 16 42.86 82.61 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 16 19 1 5 6 84.62 84.21
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 17 21 5 14 19 1 -3 -2 80.95 73.68
9 GET NICE FUTURES COMPANY LIMITED 3 16 19 3 15 18 0 -1 -1 84.21 83.33
10 Oasis Management (Hong Kong) 2 9 11 2 16 18 0 7 7 81.82 88.89 2004-09-14
11 HSBC FUTURES (SINGAPORE) PTE LTD 0 0 0 3 14 17 3 14 17 - 82.35 2007-04-20 2012-08-08
12 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 4 9 13 5 11 16 1 2 3 69.23 68.75
13 CHARLES SCHWAB, HONG KONG, LIMITED 5 11 16 5 10 15 0 -1 -1 68.75 66.67 2016-08-31
14 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 3 2 5 2 12 14 -1 10 9 40.00 85.71 2011-03-23
15 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 8 12 4 10 14 0 2 2 66.67 71.43
16 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 7 12 5 8 13 0 1 1 58.33 61.54
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 6 10 4 8 12 0 2 2 60.00 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 5 1 6 8 3 11 3 2 5 16.67 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 6 8 2 8 10 0 2 2 75.00 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) 3 3 6 4 5 9 1 2 3 50.00 55.56 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 5 7 3 5 8 1 0 1 71.43 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 Tyric Capital Limited 3 6 9 3 5 8 0 -1 -1 66.67 62.50 2003-11-13
31 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
32 BEAR STEARNS HONG KONG LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2009-05-14
33 CAPE ASSET MANAGEMENT LIMITED 4 0 4 4 3 7 0 3 3 0.00 42.86 2006-05-23 2024-03-13
34 Halbis Capital Management (Hong Kong) Limited 2 3 5 4 3 7 2 0 2 60.00 42.86 2005-06-23 2012-05-11
35 HAMON ASSET MANAGEMENT LIMITED 2 3 5 2 5 7 0 2 2 60.00 71.43
36 HSBC Global Asset Management (Hong Kong) Limited 3 8 11 2 5 7 -1 -3 -4 72.73 71.43
37 PFP Capital Limited 2 3 5 2 5 7 0 2 2 60.00 71.43
38 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2013-11-25
39 Standard Commodities (Asia) Limited 3 5 8 3 4 7 0 -1 -1 62.50 57.14 2008-05-16
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 GINGER CAPITAL MANAGEMENT LIMITED 4 1 5 4 2 6 0 1 1 20.00 33.33 2004-11-18 2009-05-29
51 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 2 4 2 4 6 0 2 2 50.00 66.67
52 TC Investment Management (Asia) Limited 2 5 7 2 4 6 0 -1 -1 71.43 66.67 2008-02-14
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 2 4 2 3 5 0 1 1 50.00 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 BOCOM International Securities Limited 0 0 0 5 0 5 5 0 5 - 0.00 2007-09-10
58 CHIEF COMMODITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2006-05-17 2025-08-31
59 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
60 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 3 0 3 3 2 5 0 2 2 0.00 40.00 2006-05-23 2017-07-25
61 GAM HONG KONG LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2013-06-19
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 3 4 7 2 3 5 -1 -1 -2 57.14 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 ADMIS Hong Kong Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
72 BEA Union Investment Management Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2022-07-12
73 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
74 DEUTSCHE SECURITIES ASIA LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2004-01-08 2020-02-04
75 ENHANCED INVESTMENT PRODUCTS LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
76 Funderstone Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00
77 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
78 HSBC Global Asset Management Holdings (Bahamas) Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2020-06-02
79 HSBC GUYERZELLER FAR EAST LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-02-02 2009-08-31
80 Metaverse Securities Limited (HK) 2 0 2 2 2 4 0 2 2 0.00 50.00
81 MF Global Hong Kong Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2005-08-26
82 OVERLOOK INVESTMENTS LIMITED 1 2 3 2 2 4 1 0 1 66.67 50.00 2010-01-05
83 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
84 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2012-06-25
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 2 1 3 0 0 0 33.33 33.33 2014-05-07
87 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
88 Funderstone Asset Management (HK) Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2013-11-14
89 ICBC Asset Management (Global) Company Limited 3 0 3 3 0 3 0 0 0 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 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
93 RAB CAPITAL (ASIA) LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2007-09-28 2010-11-22
94 SBI China Capital Commodities Limited 1 0 1 3 0 3 2 0 2 0.00 0.00 2013-07-16
95 SINOPAC FUTURES (ASIA) LIMITED 3 2 5 2 1 3 -1 -1 -2 40.00 33.33 2014-09-25
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 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 0 2 1 1 2 -1 1 0 0.00 50.00 2010-11-03
101 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 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 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
107 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
108 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-02-07 2010-05-10
109 INVESCO HONG KONG LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
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 0 2 2 0 2 0 0 0 0.00 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 2 0 2 2 0 2 0 0 0 0.00 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 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2012-07-10
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 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2003-08-13 2013-11-01
123 YUE XIU FUTURES COMPANY LIMITED 2 3 5 2 0 2 0 -3 -3 60.00 0.00 2024-07-30
124 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
125 Allianz Global Investors Hong Kong Limited 2 4 6 0 0 0 -2 -4 -6 66.67 - 2007-06-28
126 ASIA ABSOLUTE ADVISORS LIMITED 2 0 2 0 0 0 -2 0 -2 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 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2007-07-12
129 PI INVESTMENT MANAGEMENT LIMITED 3 4 7 0 0 0 -3 -4 -7 57.14 - 2007-09-28
Average 2.59 3.85 6.44 2.73 4.71 7.44 59.82 63.34

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