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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2007-01-31 2008-01-31 Change Rep v total
Row Name RO Rep Total RO Rep Total RO Rep Total Start
%		 End
%		 Licence
start		 Licence
end
1 J.P. MORGAN BROKING (HONG KONG) LIMITED 3 37 40 4 76 80 1 39 40 92.50 95.00 2003-12-02
2 FT Securities Limited 2 72 74 3 68 71 1 -4 -3 97.30 95.77 2005-09-22 2012-07-13
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 28 31 3 32 35 0 4 4 90.32 91.43 2004-10-14
4 JPMorgan Asset Management (Asia Pacific) Limited 2 25 27 3 29 32 1 4 5 92.59 90.63
5 Morgan Stanley Asia Limited 4 13 17 3 19 22 -1 6 5 76.47 86.36 2006-04-07
6 Oasis Management (Hong Kong) 2 12 14 2 20 22 0 8 8 85.71 90.91 2004-09-14
7 PHILLIP COMMODITIES (H.K.) LIMITED 2 18 20 2 20 22 0 2 2 90.00 90.91
8 AllianceBernstein Hong Kong Limited 2 12 14 5 16 21 3 4 7 85.71 76.19
9 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 4 12 16 5 14 19 1 2 3 75.00 73.68
10 GET NICE FUTURES COMPANY LIMITED 3 16 19 3 16 19 0 0 0 84.21 84.21
11 STATE STREET GLOBAL ADVISORS ASIA LIMITED 3 17 20 5 14 19 2 -3 -1 85.00 73.68
12 CHARLES SCHWAB, HONG KONG, LIMITED 5 12 17 5 12 17 0 0 0 70.59 70.59 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 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 2 5 7 2 13 15 0 8 8 71.43 86.67 2011-03-23
15 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 8 12 3 11 14 -1 3 2 66.67 78.57
16 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 8 13 5 8 13 0 0 0 61.54 61.54
17 GOLDMAN SACHS (ASIA) L.L.C. 5 8 13 7 6 13 2 -2 0 61.54 46.15
18 RAB CAPITAL (ASIA) LIMITED 0 0 0 4 8 12 4 8 12 - 66.67 2007-09-28 2010-11-22
19 BEAR STEARNS ASIA LIMITED 2 6 8 3 8 11 1 2 3 75.00 72.73 2005-11-29 2010-04-28
20 GOLDMAN SACHS FUTURES (ASIA) LIMITED 5 1 6 7 4 11 2 3 5 16.67 36.36 2016-10-10
21 Manulife Investment Management (Hong Kong) Limited 3 6 9 4 7 11 1 1 2 66.67 63.64
22 Tyric Capital Limited 3 5 8 4 7 11 1 2 3 62.50 63.64 2003-11-13
23 HAITONG INTERNATIONAL FUTURES LIMITED 5 2 7 5 5 10 0 3 3 28.57 50.00
24 OCP Asia (Hong Kong) Limited 2 5 7 2 8 10 0 3 3 71.43 80.00 2004-09-03 2022-06-13
25 OLD PEAK LIMITED (HK) 3 5 8 4 6 10 1 1 2 62.50 60.00 2005-08-26 2023-06-20
26 AXA Investment Managers Asia Limited 3 6 9 3 6 9 0 0 0 66.67 66.67 2015-06-15
27 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 8 10 2 7 9 0 -1 -1 80.00 77.78 2018-12-31
28 WINNINGTON CAPITAL LIMITED 2 3 5 2 7 9 0 4 4 60.00 77.78
29 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2015-06-15
30 CLSA FUTURES LIMITED 1 6 7 3 5 8 2 -1 1 85.71 62.50 2016-06-02
31 Halbis Capital Management (Hong Kong) Limited 2 3 5 5 3 8 3 0 3 60.00 37.50 2005-06-23 2012-05-11
32 HANG SENG FUTURES LIMITED 2 8 10 2 6 8 0 -2 -2 80.00 75.00 2017-11-17
33 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
34 Standard Commodities (Asia) Limited 3 5 8 3 5 8 0 0 0 62.50 62.50 2008-05-16
35 AD Capital Management (Hong Kong) Limited 2 3 5 2 5 7 0 2 2 60.00 71.43 2004-09-08
36 Allianz Global Investors Asia Pacific Limited (SFC:AOA171) 2 0 2 3 4 7 1 4 5 0.00 57.14 2007-01-12 2015-05-31
37 BEAR STEARNS HONG KONG LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2009-05-14
38 CAPE ASSET MANAGEMENT LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2006-05-23 2024-03-13
39 HAMON ASSET MANAGEMENT LIMITED 3 2 5 2 5 7 -1 3 2 40.00 71.43
40 HSBC Global Asset Management (Hong Kong) Limited 2 8 10 2 5 7 0 -3 -3 80.00 71.43
41 PFP Capital Limited 3 2 5 2 5 7 -1 3 2 40.00 71.43
42 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2013-11-25
43 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 4 6 2 5 7 0 1 1 66.67 71.43 2012-01-12
44 WFM Asia (HK) Limited 3 3 6 3 4 7 0 1 1 50.00 57.14 2013-11-05
45 AlTi Wealth Management (Hong Kong) Limited 2 3 5 3 3 6 1 0 1 60.00 50.00 2004-05-11
46 Ark Futures (Hong Kong) Limited 3 1 4 2 4 6 -1 3 2 25.00 66.67 2006-02-07
47 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
48 BOCI SECURITIES LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2005-10-06
49 FIL Investment Advisors 3 3 6 3 3 6 0 0 0 50.00 50.00
50 FIL Investment Management (Hong Kong) Limited 3 3 6 3 3 6 0 0 0 50.00 50.00
51 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 3 3 6 1 1 2 50.00 50.00 2024-03-21
52 GINGER CAPITAL MANAGEMENT LIMITED 4 1 5 4 2 6 0 1 1 20.00 33.33 2004-11-18 2009-05-29
53 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 2 4 3 3 6 1 1 2 50.00 50.00
54 AP Asset Management (HK) Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2004-08-26 2013-12-04
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 2 5 3 2 5 0 0 0 40.00 40.00 2006-05-23 2017-07-25
61 ELLIOTT ADVISORS (HK) LIMITED 2 5 7 2 3 5 0 -2 -2 71.43 60.00 2005-03-08 2022-03-16
62 FORTIS INVESTMENT MANAGEMENT HONG KONG LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2007-10-31 2008-09-11
63 GAM HONG KONG LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2013-06-19
64 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00
65 MUSHK Limited 4 1 5 5 0 5 1 -1 0 20.00 0.00 2011-06-01
66 OVERLOOK INVESTMENTS LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2010-01-05
67 PEACE TOWN FUTURES LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00 2012-09-27
68 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
69 SOFAER GLOBAL RESEARCH (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2011-01-18
70 Standard Advisory Asia Limited 0 0 0 3 2 5 3 2 5 - 40.00 2007-03-09 2013-04-12
71 UPBEST COMMODITIES COMPANY LIMITED 2 2 4 4 1 5 2 -1 1 50.00 20.00
72 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2015-02-09
73 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-04-19
74 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
75 ADMIS Hong Kong Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
76 BEA Union Investment Management Limited 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2022-07-12
77 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2010-11-03
78 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
79 DEUTSCHE SECURITIES ASIA LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2004-01-08 2020-02-04
80 ENHANCED INVESTMENT PRODUCTS LIMITED 1 0 1 2 2 4 1 2 3 0.00 50.00
81 Funderstone Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00
82 HSBC Global Asset Management Holdings (Bahamas) Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2020-06-02
83 HSBC GUYERZELLER FAR EAST LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-02-02 2009-08-31
84 INVESCO HONG KONG LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00
85 MF Global Hong Kong Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2005-08-26
86 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2012-06-25
87 AKTIS CAPITAL ADVISORY LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2003-11-29
88 AXIOM INVESTMENT MANAGEMENT LIMITED 1 1 2 2 1 3 1 0 1 50.00 33.33 2014-05-07
89 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
90 Funderstone Asset Management (HK) Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2013-11-14
91 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
92 ICBC Asset Management (Global) Company Limited 3 0 3 3 0 3 0 0 0 0.00 0.00
93 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
94 KGI FUTURES (HONG KONG) LIMITED 3 0 3 2 1 3 -1 1 0 0.00 33.33
95 Metaverse Securities Limited (HK) 2 0 2 2 1 3 0 1 1 0.00 33.33
96 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
97 SATTVA INVESTMENT ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2003-10-30 2015-04-22
98 SBI China Capital Commodities Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-07-16
99 SINOPAC FUTURES (ASIA) LIMITED 5 0 5 2 1 3 -3 1 -2 0.00 33.33 2014-09-25
100 VALUE PARTNERS HONG KONG LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2007-11-19
101 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
102 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
103 BALLINGAL INVESTMENT ADVISORS LIMITED 4 0 4 2 0 2 -2 0 -2 0.00 0.00 2004-08-13
104 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 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 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
109 GCIS LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2007-11-22 2010-02-09
110 GENERALI INVESTMENTS ASIA LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2007-12-28 2018-09-26
111 HAI TONG SECURITIES (HK) BROKERAGE LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2007-12-18 2011-02-23
112 IMPAC ASSET MANAGEMENT (HK) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2017-01-03
113 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-02-07 2010-05-10
114 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
115 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
116 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
117 MAGUSTA FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-02-26
118 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-09-05
119 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
120 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
121 ROCTEC INVESTMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2005-09-16 2021-10-07
122 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2012-07-10
123 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
124 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
125 YUE XIU FUTURES COMPANY LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2024-07-30
126 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
127 EMPEROR FUTURES LIMITED 3 0 3 1 0 1 -2 0 -2 0.00 0.00
128 TC Investment Management (Asia) Limited 2 5 7 1 0 1 -1 -5 -6 71.43 0.00 2008-02-14
129 Allianz Global Investors Hong Kong Limited 3 4 7 0 0 0 -3 -4 -7 57.14 - 2007-06-28
130 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2007-07-12
131 PI INVESTMENT MANAGEMENT LIMITED 3 4 7 0 0 0 -3 -4 -7 57.14 - 2007-09-28
132 VEGASOUL SERVICES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-07-22 2007-11-02
Average 2.59 4.22 6.80 2.75 4.93 7.68 62.01 64.19

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