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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2007-05-31 2008-05-31 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 41 44 4 76 80 1 35 36 93.18 95.00 2003-12-02
2 FT Securities Limited 2 76 78 2 70 72 0 -6 -6 97.44 97.22 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 28 30 3 31 34 1 3 4 93.33 91.18
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 19 21 2 20 22 0 1 1 90.48 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 11 16 5 15 20 0 4 4 68.75 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 11 16 5 11 16 0 0 0 68.75 68.75 2016-08-31
13 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 2 11 13 2 13 15 0 2 2 84.62 86.67 2011-03-23
14 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 10 14 2 13 15 -2 3 1 71.43 86.67
15 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 7 13 6 8 14 0 1 1 53.85 57.14
16 GOLDMAN SACHS FUTURES (ASIA) LIMITED 7 2 9 9 5 14 2 3 5 22.22 35.71 2016-10-10
17 HSBC FUTURES (SINGAPORE) PTE LTD 1 0 1 3 10 13 2 10 12 0.00 76.92 2007-04-20 2012-08-08
18 GOLDMAN SACHS (ASIA) L.L.C. 5 7 12 6 6 12 1 -1 0 58.33 50.00
19 Tyric Capital Limited 3 5 8 4 8 12 1 3 4 62.50 66.67 2003-11-13
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 HAITONG INTERNATIONAL FUTURES LIMITED 5 2 7 6 5 11 1 3 4 28.57 45.45
22 OCP Asia (Hong Kong) Limited 2 6 8 2 9 11 0 3 3 75.00 81.82 2004-09-03 2022-06-13
23 GENERALI INVESTMENTS ASIA LIMITED 0 0 0 3 7 10 3 7 10 - 70.00 2007-12-28 2018-09-26
24 Manulife Investment Management (Hong Kong) Limited 4 7 11 3 7 10 -1 0 -1 63.64 70.00
25 OLD PEAK LIMITED (HK) 2 5 7 4 6 10 2 1 3 71.43 60.00 2005-08-26 2023-06-20
26 RAB CAPITAL (ASIA) LIMITED 0 0 0 5 5 10 5 5 10 - 50.00 2007-09-28 2010-11-22
27 Allianz Global Investors Asia Pacific Limited (SFC:AOA171) 3 5 8 3 6 9 0 1 1 62.50 66.67 2007-01-12 2015-05-31
28 AXA Investment Managers Asia Limited 3 6 9 3 6 9 0 0 0 66.67 66.67 2015-06-15
29 WINNINGTON CAPITAL LIMITED 2 3 5 2 7 9 0 4 4 60.00 77.78
30 AD Capital Management (Hong Kong) Limited 2 3 5 2 6 8 0 3 3 60.00 75.00 2004-09-08
31 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2015-06-15
32 Halbis Capital Management (Hong Kong) Limited 3 3 6 5 3 8 2 0 2 50.00 37.50 2005-06-23 2012-05-11
33 HANG SENG FUTURES LIMITED 2 9 11 2 6 8 0 -3 -3 81.82 75.00 2017-11-17
34 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
35 BEAR STEARNS HONG KONG LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2009-05-14
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 HAMON ASSET MANAGEMENT LIMITED 3 3 6 2 5 7 -1 2 1 50.00 71.43
38 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 2 4 2 5 7 0 3 3 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 MF Global Hong Kong Limited 2 2 4 2 5 7 0 3 3 50.00 71.43 2005-08-26
41 PFP Capital Limited 3 3 6 2 5 7 -1 2 1 50.00 71.43
42 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 5 2 7 1 -1 0 42.86 28.57 2013-11-25
43 WFM Asia (HK) Limited 3 3 6 3 4 7 0 1 1 50.00 57.14 2013-11-05
44 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 7 9 2 4 6 0 -3 -3 77.78 66.67 2018-12-31
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 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2012-01-12
53 Standard Advisory Asia Limited 1 0 1 3 3 6 2 3 5 0.00 50.00 2007-03-09 2013-04-12
54 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00
55 AlTi Wealth Management (Hong Kong) Limited 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2004-05-11
56 AP Asset Management (HK) Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2004-08-26 2013-12-04
57 Ark Futures (Hong Kong) Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2006-02-07
58 BLUE POOL CAPITAL LIMITED 2 3 5 3 2 5 1 -1 0 60.00 40.00 2004-11-10 2015-12-01
59 BOCOM International Securities Limited 0 0 0 5 0 5 5 0 5 - 0.00 2007-09-10
60 BREVAN HOWARD (HONG KONG) LIMITED 0 0 0 3 2 5 3 2 5 - 40.00 2008-03-12 2018-05-11
61 CHIEF COMMODITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2006-05-17 2025-08-31
62 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
63 CLSA FUTURES LIMITED 3 6 9 3 2 5 0 -4 -4 66.67 40.00 2016-06-02
64 ELLIOTT ADVISORS (HK) LIMITED 2 4 6 3 2 5 1 -2 -1 66.67 40.00 2005-03-08 2022-03-16
65 EMPEROR FUTURES LIMITED 2 0 2 3 2 5 1 2 3 0.00 40.00
66 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
67 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
68 MUSHK Limited 5 0 5 5 0 5 0 0 0 0.00 0.00 2011-06-01
69 OVERLOOK INVESTMENTS LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2010-01-05
70 PEACE TOWN FUTURES LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00 2012-09-27
71 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
72 SOFAER GLOBAL RESEARCH (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2011-01-18
73 UPBEST COMMODITIES COMPANY LIMITED 3 2 5 4 1 5 1 -1 0 40.00 20.00
74 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-04-19
75 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2006-05-23 2017-07-25
76 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
77 DEUTSCHE SECURITIES ASIA LIMITED 2 2 4 3 1 4 1 -1 0 50.00 25.00 2004-01-08 2020-02-04
78 ENHANCED INVESTMENT PRODUCTS LIMITED 1 2 3 2 2 4 1 0 1 66.67 50.00
79 FORTIS INVESTMENT MANAGEMENT HONG KONG LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2007-10-31 2008-09-11
80 Funderstone Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00
81 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2020-06-02
82 HSBC GUYERZELLER FAR EAST LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-02-02 2009-08-31
83 INVESCO HONG KONG LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00
84 KGI FUTURES (HONG KONG) LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00
85 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-02-09
86 ADMIS Hong Kong Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33
87 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2012-06-25
88 AKTIS CAPITAL ADVISORY LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2003-11-29
89 AXIOM INVESTMENT MANAGEMENT LIMITED 1 1 2 2 1 3 1 0 1 50.00 33.33 2014-05-07
90 BALLINGAL INVESTMENT ADVISORS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2004-08-13
91 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2010-11-03
92 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
93 Funderstone Asset Management (HK) Limited 2 1 3 2 1 3 0 0 0 33.33 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 2 4 2 1 3 0 -1 -1 50.00 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 2 0 2 2 1 3 0 1 1 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 BEA Union Investment Management Limited 3 2 5 2 0 2 -1 -2 -3 40.00 0.00 2022-07-12
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 PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2008-05-29 2014-04-17
121 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
122 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
123 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
124 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2012-07-10
125 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
126 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
127 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2024-07-30
128 Allianz Global Investors Hong Kong Limited 0 1 1 0 0 0 0 -1 -1 100.00 - 2007-06-28
129 BOCOM International Holdings Company Limited 5 0 5 0 0 0 -5 0 -5 0.00 - 2005-08-24 2010-03-09
130 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2008-05-13
131 DAIWA ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2007-07-12
132 PI INVESTMENT MANAGEMENT LIMITED 3 3 6 0 0 0 -3 -3 -6 50.00 - 2007-09-28
133 Standard Commodities (Asia) Limited 3 4 7 0 0 0 -3 -4 -7 57.14 - 2008-05-16
134 TC Investment Management (Asia) Limited 3 4 7 0 0 0 -3 -4 -7 57.14 - 2008-02-14
135 VEGASOUL SERVICES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-07-22 2007-11-02
Average 2.61 4.31 6.92 2.80 5.02 7.82 62.31 64.15

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