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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2007-04-30 2008-04-30 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 39 42 4 73 77 1 34 35 92.86 94.81 2003-12-02
2 FT Securities Limited 2 74 76 2 67 69 0 -7 -7 97.37 97.10 2005-09-22 2012-07-13
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 29 32 3 32 35 0 3 3 90.63 91.43 2004-10-14
4 JPMorgan Asset Management (Asia Pacific) Limited 2 26 28 3 30 33 1 4 5 92.86 90.91
5 Oasis Management (Hong Kong) 2 12 14 2 22 24 0 10 10 85.71 91.67 2004-09-14
6 Morgan Stanley Asia Limited 4 12 16 4 19 23 0 7 7 75.00 82.61 2006-04-07
7 PHILLIP COMMODITIES (H.K.) LIMITED 2 16 18 2 20 22 0 4 4 88.89 90.91
8 AllianceBernstein Hong Kong Limited 3 16 19 5 16 21 2 0 2 84.21 76.19
9 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 12 17 5 15 20 0 3 3 70.59 75.00
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 15 18 4 13 17 1 -2 -1 83.33 76.47
12 CHARLES SCHWAB, HONG KONG, LIMITED 5 12 17 5 11 16 0 -1 -1 70.59 68.75 2016-08-31
13 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 9 13 2 14 16 -2 5 3 69.23 87.50
14 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 2 11 13 2 13 15 0 2 2 84.62 86.67 2011-03-23
15 HSBC FUTURES (SINGAPORE) PTE LTD 2 0 2 3 12 15 1 12 13 0.00 80.00 2007-04-20 2012-08-08
16 GOLDMAN SACHS FUTURES (ASIA) LIMITED 6 3 9 9 5 14 3 2 5 33.33 35.71 2016-10-10
17 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 7 12 6 7 13 1 0 1 58.33 53.85
18 GOLDMAN SACHS (ASIA) L.L.C. 5 8 13 6 6 12 1 -2 -1 61.54 50.00
19 RAB CAPITAL (ASIA) LIMITED 0 0 0 5 7 12 5 7 12 - 58.33 2007-09-28 2010-11-22
20 BEAR STEARNS ASIA LIMITED 2 6 8 2 9 11 0 3 3 75.00 81.82 2005-11-29 2010-04-28
21 OCP Asia (Hong Kong) Limited 2 6 8 2 9 11 0 3 3 75.00 81.82 2004-09-03 2022-06-13
22 Tyric Capital Limited 3 4 7 4 7 11 1 3 4 57.14 63.64 2003-11-13
23 HAITONG INTERNATIONAL FUTURES LIMITED 5 2 7 5 5 10 0 3 3 28.57 50.00
24 OLD PEAK LIMITED (HK) 2 5 7 4 6 10 2 1 3 71.43 60.00 2005-08-26 2023-06-20
25 Allianz Global Investors Asia Pacific Limited (SFC:AOA171) 3 4 7 3 6 9 0 2 2 57.14 66.67 2007-01-12 2015-05-31
26 AXA Investment Managers Asia Limited 3 6 9 3 6 9 0 0 0 66.67 66.67 2015-06-15
27 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2015-06-15
28 Halbis Capital Management (Hong Kong) Limited 3 2 5 5 3 8 2 1 3 40.00 37.50 2005-06-23 2012-05-11
29 HANG SENG FUTURES LIMITED 2 9 11 2 6 8 0 -3 -3 81.82 75.00 2017-11-17
30 Manulife Investment Management (Hong Kong) Limited 4 6 10 3 5 8 -1 -1 -2 60.00 62.50
31 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
32 WINNINGTON CAPITAL LIMITED 2 3 5 2 6 8 0 3 3 60.00 75.00
33 AD Capital Management (Hong Kong) Limited 2 3 5 2 5 7 0 2 2 60.00 71.43 2004-09-08
34 BEAR STEARNS HONG KONG LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2009-05-14
35 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 7 9 2 5 7 0 -2 -2 77.78 71.43 2018-12-31
36 CAPE ASSET MANAGEMENT LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2006-05-23 2024-03-13
37 CLSA FUTURES LIMITED 3 6 9 3 4 7 0 -2 -2 66.67 57.14 2016-06-02
38 HAMON ASSET MANAGEMENT LIMITED 3 3 6 2 5 7 -1 2 1 50.00 71.43
39 HSBC Global Asset Management (Hong Kong) Limited 2 5 7 2 5 7 0 0 0 71.43 71.43
40 PFP Capital Limited 3 3 6 2 5 7 -1 2 1 50.00 71.43
41 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2013-11-25
42 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 3 5 2 5 7 0 2 2 60.00 71.43 2012-01-12
43 WFM Asia (HK) Limited 3 3 6 3 4 7 0 1 1 50.00 57.14 2013-11-05
44 Ark Futures (Hong Kong) Limited 3 1 4 2 4 6 -1 3 2 25.00 66.67 2006-02-07
45 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
46 BOCI SECURITIES LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2005-10-06
47 FIL Investment Advisors 3 3 6 4 2 6 1 -1 0 50.00 33.33
48 FIL Investment Management (Hong Kong) Limited 3 3 6 4 2 6 1 -1 0 50.00 33.33
49 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 3 5 3 3 6 1 0 1 60.00 50.00 2024-03-21
50 GAM HONG KONG LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2013-06-19
51 GINGER CAPITAL MANAGEMENT LIMITED 4 1 5 4 2 6 0 1 1 20.00 33.33 2004-11-18 2009-05-29
52 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 3 5 3 3 6 1 0 1 60.00 50.00
53 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00
54 AlTi Wealth Management (Hong Kong) Limited 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2004-05-11
55 AP Asset Management (HK) Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2004-08-26 2013-12-04
56 BLUE POOL CAPITAL LIMITED 2 3 5 3 2 5 1 -1 0 60.00 40.00 2004-11-10 2015-12-01
57 BOCOM International Securities Limited 0 0 0 5 0 5 5 0 5 - 0.00 2007-09-10
58 BREVAN HOWARD (HONG KONG) LIMITED 0 0 0 3 2 5 3 2 5 - 40.00 2008-03-12 2018-05-11
59 CHIEF COMMODITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2006-05-17 2025-08-31
60 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
61 ELLIOTT ADVISORS (HK) LIMITED 2 4 6 3 2 5 1 -2 -1 66.67 40.00 2005-03-08 2022-03-16
62 GENERALI INVESTMENTS ASIA LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2007-12-28 2018-09-26
63 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
64 MUSHK Limited 4 1 5 5 0 5 1 -1 0 20.00 0.00 2011-06-01
65 OVERLOOK INVESTMENTS LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2010-01-05
66 PEACE TOWN FUTURES LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00 2012-09-27
67 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
68 SOFAER GLOBAL RESEARCH (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2011-01-18
69 Standard Advisory Asia Limited 1 1 2 3 2 5 2 1 3 50.00 40.00 2007-03-09 2013-04-12
70 UPBEST COMMODITIES COMPANY LIMITED 2 2 4 4 1 5 2 -1 1 50.00 20.00
71 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2015-02-09
72 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-04-19
73 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2006-05-23 2017-07-25
74 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
75 DEUTSCHE SECURITIES ASIA LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2004-01-08 2020-02-04
76 EMPEROR FUTURES LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00
77 ENHANCED INVESTMENT PRODUCTS LIMITED 1 1 2 2 2 4 1 1 2 50.00 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 2 4 2 2 4 0 0 0 50.00 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 INVESCO HONG KONG LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00
83 KGI FUTURES (HONG KONG) LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00
84 MF Global Hong Kong Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2005-08-26
85 ADMIS Hong Kong Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33
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 BEA Union Investment Management Limited 3 2 5 2 1 3 -1 -1 -2 40.00 33.33 2022-07-12
90 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2010-11-03
91 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
92 FORTIS INVESTMENT MANAGEMENT HONG KONG LIMITED 0 0 0 1 2 3 1 2 3 - 66.67 2007-10-31 2008-09-11
93 Funderstone Asset Management (HK) Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2013-11-14
94 GUOYUAN FUTURES (HONG KONG) LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2008-03-05
95 ICBC Asset Management (Global) Company Limited 3 0 3 3 0 3 0 0 0 0.00 0.00
96 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
97 Metaverse Securities Limited (HK) 2 1 3 2 1 3 0 0 0 33.33 33.33
98 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
99 SATTVA INVESTMENT ADVISORS LIMITED 3 0 3 2 1 3 -1 1 0 0.00 33.33 2003-10-30 2015-04-22
100 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
101 SINOPAC FUTURES (ASIA) LIMITED 3 0 3 2 1 3 -1 1 0 0.00 33.33 2014-09-25
102 VALUE PARTNERS HONG KONG LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2007-11-19
103 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
104 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
105 BALLINGAL INVESTMENT ADVISORS LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2004-08-13
106 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
107 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
108 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
109 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
110 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
111 GCIS LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2007-11-22 2010-02-09
112 HAI TONG SECURITIES (HK) BROKERAGE LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2007-12-18 2011-02-23
113 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
114 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-02-07 2010-05-10
115 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
116 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
117 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
118 MAGUSTA FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-02-26
119 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-09-05
120 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
121 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
122 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
123 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2012-07-10
124 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
125 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
126 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2024-07-30
127 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2008-05-13
128 BOCOM International Holdings Company Limited 5 0 5 0 0 0 -5 0 -5 0.00 - 2005-08-24 2010-03-09
129 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2007-07-12
130 PI INVESTMENT MANAGEMENT LIMITED 3 3 6 0 0 0 -3 -3 -6 50.00 - 2007-09-28
131 Standard Commodities (Asia) Limited 3 4 7 0 0 0 -3 -4 -7 57.14 - 2008-05-16
132 TC Investment Management (Asia) Limited 3 4 7 0 0 0 -3 -4 -7 57.14 - 2008-02-14
133 VEGASOUL SERVICES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-07-22 2007-11-02
Average 2.62 4.21 6.83 2.76 4.93 7.69 61.63 64.14

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