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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2007-07-31 2008-07-31 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 48 51 5 90 95 2 42 44 94.12 94.74 2003-12-02
2 FT Securities Limited 2 71 73 2 72 74 0 1 1 97.26 97.30 2005-09-22 2012-07-13
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 30 33 3 35 38 0 5 5 90.91 92.11 2004-10-14
4 JPMorgan Asset Management (Asia Pacific) Limited 2 28 30 3 32 35 1 4 5 93.33 91.43
5 Oasis Management (Hong Kong) 2 14 16 2 22 24 0 8 8 87.50 91.67 2004-09-14
6 PHILLIP COMMODITIES (H.K.) LIMITED 2 19 21 2 21 23 0 2 2 90.48 91.30
7 Morgan Stanley Asia Limited 4 14 18 5 17 22 1 3 4 77.78 77.27 2006-04-07
8 AllianceBernstein Hong Kong Limited 3 16 19 5 15 20 2 -1 1 84.21 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 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 13 17 4 16 20 0 3 3 76.47 80.00
11 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 10 15 5 14 19 0 4 4 66.67 73.68
12 GET NICE FUTURES COMPANY LIMITED 3 15 18 3 16 19 0 1 1 83.33 84.21
13 CHARLES SCHWAB, HONG KONG, LIMITED 5 10 15 5 11 16 0 1 1 66.67 68.75 2016-08-31
14 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 2 12 14 2 14 16 0 2 2 85.71 87.50 2011-03-23
15 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 10 14 2 14 16 -2 4 2 71.43 87.50
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 8 2 10 8 6 14 0 4 4 20.00 42.86 2016-10-10
18 BEAR STEARNS ASIA LIMITED 3 8 11 3 10 13 0 2 2 72.73 76.92 2005-11-29 2010-04-28
19 HSBC FUTURES (SINGAPORE) PTE LTD 3 0 3 3 10 13 0 10 10 0.00 76.92 2007-04-20 2012-08-08
20 GOLDMAN SACHS (ASIA) L.L.C. 6 7 13 7 5 12 1 -2 -1 53.85 41.67
21 OCP Asia (Hong Kong) Limited 2 8 10 2 10 12 0 2 2 80.00 83.33 2004-09-03 2022-06-13
22 HAITONG INTERNATIONAL FUTURES LIMITED 5 5 10 6 5 11 1 0 1 50.00 45.45
23 Manulife Investment Management (Hong Kong) Limited 4 8 12 3 8 11 -1 0 -1 66.67 72.73
24 Tyric Capital Limited 3 4 7 4 7 11 1 3 4 57.14 63.64 2003-11-13
25 GENERALI INVESTMENTS ASIA LIMITED 0 0 0 3 7 10 3 7 10 - 70.00 2007-12-28 2018-09-26
26 OLD PEAK LIMITED (HK) 2 7 9 4 6 10 2 -1 1 77.78 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 4 6 2 8 10 0 4 4 66.67 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 4 7 3 6 9 0 2 2 57.14 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 HAMON ASSET MANAGEMENT LIMITED 3 4 7 3 5 8 0 1 1 57.14 62.50
36 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 2 4 2 6 8 0 4 4 50.00 75.00
37 HSBC Global Asset Management (Hong Kong) Limited 2 5 7 3 5 8 1 0 1 71.43 62.50
38 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
39 MF Global Hong Kong Limited 2 2 4 2 6 8 0 4 4 50.00 75.00 2005-08-26
40 PFP Capital Limited 3 4 7 3 5 8 0 1 1 57.14 62.50
41 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 4 6 2 6 8 0 2 2 66.67 75.00 2012-01-12
42 BEAR STEARNS HONG KONG LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2009-05-14
43 CAPE ASSET MANAGEMENT LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2006-05-23 2024-03-13
44 Halbis Capital Management (Hong Kong) Limited 4 3 7 5 2 7 1 -1 0 42.86 28.57 2005-06-23 2012-05-11
45 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 5 2 7 1 -1 0 42.86 28.57 2013-11-25
46 WFM Asia (HK) Limited 3 3 6 3 4 7 0 1 1 50.00 57.14 2013-11-05
47 Ark Futures (Hong Kong) Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2006-02-07
48 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
49 BOCI SECURITIES LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2005-10-06
50 FIL Investment Advisors 3 3 6 4 2 6 1 -1 0 50.00 33.33
51 FIL Investment Management (Hong Kong) Limited 3 3 6 4 2 6 1 -1 0 50.00 33.33
52 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 3 3 6 2 4 6 -1 1 0 50.00 66.67 2024-03-21
53 GAM HONG KONG LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2013-06-19
54 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 3 3 6 1 0 1 60.00 50.00
55 Standard Advisory Asia Limited 3 0 3 3 3 6 0 3 3 0.00 50.00 2007-03-09 2013-04-12
56 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
57 AlTi Wealth Management (Hong Kong) Limited 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2004-05-11
58 AP Asset Management (HK) Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2004-08-26 2013-12-04
59 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2010-11-03
60 CHIEF COMMODITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2006-05-17 2025-08-31
61 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
62 CLSA FUTURES LIMITED 3 5 8 3 2 5 0 -3 -3 62.50 40.00 2016-06-02
63 DEUTSCHE SECURITIES ASIA LIMITED 2 2 4 3 2 5 1 0 1 50.00 40.00 2004-01-08 2020-02-04
64 EMPEROR FUTURES LIMITED 2 0 2 3 2 5 1 2 3 0.00 40.00
65 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 0 0 0 4 1 5 4 1 5 - 20.00 2008-07-03
66 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
67 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 3 2 5 1 0 1 50.00 40.00 2020-06-02
68 MUSHK Limited 5 0 5 5 0 5 0 0 0 0.00 0.00 2011-06-01
69 OVERLOOK INVESTMENTS LIMITED 2 2 4 2 3 5 0 1 1 50.00 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 UPBEST COMMODITIES COMPANY LIMITED 3 2 5 4 1 5 1 -1 0 40.00 20.00
73 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2015-02-09
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 AKTIS CAPITAL ADVISORY LIMITED 3 0 3 4 0 4 1 0 1 0.00 0.00 2003-11-29
76 BALLINGAL INVESTMENT ADVISORS LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2004-08-13
77 BLUE POOL CAPITAL LIMITED 2 3 5 3 1 4 1 -2 -1 60.00 25.00 2004-11-10 2015-12-01
78 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2006-05-23 2017-07-25
79 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
80 ELLIOTT ADVISORS (HK) LIMITED 2 3 5 3 1 4 1 -2 -1 60.00 25.00 2005-03-08 2022-03-16
81 ENHANCED INVESTMENT PRODUCTS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00
82 FORTIS INVESTMENT MANAGEMENT HONG KONG LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2007-10-31 2008-09-11
83 Funderstone Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00
84 GINGER CAPITAL MANAGEMENT LIMITED 4 1 5 4 0 4 0 -1 -1 20.00 0.00 2004-11-18 2009-05-29
85 HSBC GUYERZELLER FAR EAST LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-02-02 2009-08-31
86 INVESCO HONG KONG LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00
87 KGI FUTURES (HONG KONG) LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00
88 Metaverse Securities Limited (HK) 2 2 4 2 2 4 0 0 0 50.00 50.00
89 ADMIS Hong Kong Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33
90 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2012-06-25
91 AXIOM INVESTMENT MANAGEMENT LIMITED 1 2 3 2 1 3 1 -1 0 66.67 33.33 2014-05-07
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 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2006-02-07 2010-05-10
97 iVenture Investment Management Limited 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 Pyramis Global Advisors (Hong Kong) Limited 0 0 0 3 0 3 3 0 3 - 0.00 2008-07-29 2013-11-15
100 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2003-10-30 2015-04-22
101 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
102 SINOPAC FUTURES (ASIA) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2014-09-25
103 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
104 SOFAER GLOBAL RESEARCH (HK) LIMITED 3 2 5 1 2 3 -2 0 -2 40.00 66.67 2011-01-18
105 VALUE PARTNERS HONG KONG LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2007-11-19
106 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
107 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
108 BEA Union Investment Management Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2022-07-12
109 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
110 BOCOM International Securities Limited 0 0 0 2 0 2 2 0 2 - 0.00 2007-09-10
111 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
112 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
113 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
114 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
115 GCIS LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2007-11-22 2010-02-09
116 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
117 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
118 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
119 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
120 MAGUSTA FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-02-26
121 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-09-05
122 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
123 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
124 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
125 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
126 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
127 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
128 YUE XIU FUTURES COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2024-07-30
129 HAI TONG SECURITIES (HK) BROKERAGE LIMITED 0 0 0 1 0 1 1 0 1 - 0.00 2007-12-18 2011-02-23
130 BOCOM International Holdings Company Limited 5 0 5 0 0 0 -5 0 -5 0.00 - 2005-08-24 2010-03-09
131 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2008-05-13
132 PI INVESTMENT MANAGEMENT LIMITED 3 4 7 0 0 0 -3 -4 -7 57.14 - 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 2.69 4.50 7.20 2.85 5.34 8.19 62.60 65.18

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