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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2007-06-30 2008-06-30 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 44 47 4 88 92 1 44 45 93.62 95.65 2003-12-02
2 FT Securities Limited 2 73 75 2 70 72 0 -3 -3 97.33 97.22 2005-09-22 2012-07-13
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 28 31 3 33 36 0 5 5 90.32 91.67 2004-10-14
4 JPMorgan Asset Management (Asia Pacific) Limited 2 27 29 3 32 35 1 5 6 93.10 91.43
5 Oasis Management (Hong Kong) 2 13 15 2 22 24 0 9 9 86.67 91.67 2004-09-14
6 Morgan Stanley Asia Limited 4 13 17 4 18 22 0 5 5 76.47 81.82 2006-04-07
7 AllianceBernstein Hong Kong Limited 3 16 19 5 16 21 2 0 2 84.21 76.19
8 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 10 15 5 15 20 0 5 5 66.67 75.00
9 BREVAN HOWARD (HONG KONG) LIMITED 0 0 0 3 17 20 3 17 20 - 85.00 2008-03-12 2018-05-11
10 PHILLIP COMMODITIES (H.K.) LIMITED 2 19 21 2 18 20 0 -1 -1 90.48 90.00
11 GET NICE FUTURES COMPANY LIMITED 3 16 19 3 16 19 0 0 0 84.21 84.21
12 STATE STREET GLOBAL ADVISORS ASIA LIMITED 3 15 18 4 15 19 1 0 1 83.33 78.95
13 CHARLES SCHWAB, HONG KONG, LIMITED 5 9 14 5 10 15 0 1 1 64.29 66.67 2016-08-31
14 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 2 13 15 2 13 15 0 0 0 86.67 86.67 2011-03-23
15 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 10 14 2 13 15 -2 3 1 71.43 86.67
16 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 8 14 6 8 14 0 0 0 57.14 57.14
17 GOLDMAN SACHS FUTURES (ASIA) LIMITED 7 2 9 8 6 14 1 4 5 22.22 42.86 2016-10-10
18 HSBC FUTURES (SINGAPORE) PTE LTD 3 0 3 3 10 13 0 10 10 0.00 76.92 2007-04-20 2012-08-08
19 GOLDMAN SACHS (ASIA) L.L.C. 6 6 12 6 6 12 0 0 0 50.00 50.00
20 OCP Asia (Hong Kong) Limited 2 8 10 2 10 12 0 2 2 80.00 83.33 2004-09-03 2022-06-13
21 Tyric Capital Limited 3 4 7 4 8 12 1 4 5 57.14 66.67 2003-11-13
22 HAITONG INTERNATIONAL FUTURES LIMITED 5 2 7 6 5 11 1 3 4 28.57 45.45
23 BEAR STEARNS ASIA LIMITED 3 7 10 2 8 10 -1 1 0 70.00 80.00 2005-11-29 2010-04-28
24 GENERALI INVESTMENTS ASIA LIMITED 0 0 0 3 7 10 3 7 10 - 70.00 2007-12-28 2018-09-26
25 Manulife Investment Management (Hong Kong) Limited 4 7 11 3 7 10 -1 0 -1 63.64 70.00
26 OLD PEAK LIMITED (HK) 2 6 8 4 6 10 2 0 2 75.00 60.00 2005-08-26 2023-06-20
27 RAB CAPITAL (ASIA) LIMITED 0 0 0 5 5 10 5 5 10 - 50.00 2007-09-28 2010-11-22
28 WINNINGTON CAPITAL LIMITED 2 3 5 2 8 10 0 5 5 60.00 80.00
29 AD Capital Management (Hong Kong) Limited 2 3 5 2 7 9 0 4 4 60.00 77.78 2004-09-08
30 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
31 AXA Investment Managers Asia Limited 3 6 9 3 6 9 0 0 0 66.67 66.67 2015-06-15
32 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 7 9 4 5 9 2 -2 0 77.78 55.56 2018-12-31
33 HANG SENG FUTURES LIMITED 2 8 10 2 7 9 0 -1 -1 80.00 77.78 2017-11-17
34 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2015-06-15
35 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
36 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
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 4 7 3 4 7 0 0 0 57.14 57.14
40 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 2 4 2 5 7 0 3 3 50.00 71.43
41 HSBC Global Asset Management (Hong Kong) Limited 2 5 7 2 5 7 0 0 0 71.43 71.43
42 MF Global Hong Kong Limited 2 2 4 2 5 7 0 3 3 50.00 71.43 2005-08-26
43 PFP Capital Limited 3 4 7 3 4 7 0 0 0 57.14 57.14
44 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 5 2 7 1 -1 0 42.86 28.57 2013-11-25
45 WFM Asia (HK) Limited 3 3 6 3 4 7 0 1 1 50.00 57.14 2013-11-05
46 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
47 BOCI SECURITIES LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2005-10-06
48 FIL Investment Advisors 3 3 6 4 2 6 1 -1 0 50.00 33.33
49 FIL Investment Management (Hong Kong) Limited 3 3 6 4 2 6 1 -1 0 50.00 33.33
50 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 4 6 3 3 6 1 -1 0 66.67 50.00 2024-03-21
51 GAM HONG KONG LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2013-06-19
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 2 0 2 3 3 6 1 3 4 0.00 50.00 2007-03-09 2013-04-12
54 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 2 4 2 3 5 0 1 1 50.00 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 3 5 2 3 5 0 0 0 60.00 60.00 2006-02-07
58 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2010-11-03
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 CLSA FUTURES LIMITED 3 5 8 3 2 5 0 -3 -3 62.50 40.00 2016-06-02
62 EMPEROR FUTURES LIMITED 2 0 2 3 2 5 1 2 3 0.00 40.00
63 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
64 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
65 MUSHK Limited 5 0 5 5 0 5 0 0 0 0.00 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 UPBEST COMMODITIES COMPANY LIMITED 3 2 5 4 1 5 1 -1 0 40.00 20.00
71 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-04-19
72 AKTIS CAPITAL ADVISORY LIMITED 3 0 3 4 0 4 1 0 1 0.00 0.00 2003-11-29
73 BLUE POOL CAPITAL LIMITED 2 3 5 3 1 4 1 -2 -1 60.00 25.00 2004-11-10 2015-12-01
74 BOCOM International Securities Limited 0 0 0 4 0 4 4 0 4 - 0.00 2007-09-10
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 ELLIOTT ADVISORS (HK) LIMITED 2 4 6 3 1 4 1 -3 -2 66.67 25.00 2005-03-08 2022-03-16
79 ENHANCED INVESTMENT PRODUCTS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00
80 FORTIS INVESTMENT MANAGEMENT HONG KONG LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2007-10-31 2008-09-11
81 Funderstone Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00
82 GINGER CAPITAL MANAGEMENT LIMITED 4 1 5 4 0 4 0 -1 -1 20.00 0.00 2004-11-18 2009-05-29
83 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2020-06-02
84 HSBC GUYERZELLER FAR EAST LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-02-02 2009-08-31
85 INVESCO HONG KONG LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00
86 KGI FUTURES (HONG KONG) LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00
87 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2015-02-09
88 ADMIS Hong Kong Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33
89 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2012-06-25
90 AXIOM INVESTMENT MANAGEMENT LIMITED 1 2 3 2 1 3 1 -1 0 66.67 33.33 2014-05-07
91 BALLINGAL INVESTMENT ADVISORS LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2004-08-13
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 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
103 VALUE PARTNERS HONG KONG LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2007-11-19
104 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
105 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
106 BEA Union Investment Management Limited 3 2 5 2 0 2 -1 -2 -3 40.00 0.00 2022-07-12
107 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
108 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
109 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
110 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
111 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
112 GCIS LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2007-11-22 2010-02-09
113 HAI TONG SECURITIES (HK) BROKERAGE LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2007-12-18 2011-02-23
114 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
115 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-02-07 2010-05-10
116 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
117 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
118 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
119 MAGUSTA FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-02-26
120 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-09-05
121 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
122 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
123 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
124 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
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 BOCOM International Holdings Company Limited 5 0 5 0 0 0 -5 0 -5 0.00 - 2005-08-24 2010-03-09
129 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2008-05-13
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 2.67 4.42 7.10 2.83 5.24 8.07 62.31 64.98

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