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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2007-08-31 2008-08-31 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 55 58 5 90 95 2 35 37 94.83 94.74 2003-12-02
2 FT Securities Limited 3 70 73 2 75 77 -1 5 4 95.89 97.40 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 29 31 3 32 35 1 3 4 93.55 91.43
5 PHILLIP COMMODITIES (H.K.) LIMITED 2 19 21 2 29 31 0 10 10 90.48 93.55
6 Oasis Management (Hong Kong) 2 16 18 2 23 25 0 7 7 88.89 92.00 2004-09-14
7 Morgan Stanley Asia Limited 4 18 22 5 17 22 1 -1 0 81.82 77.27 2006-04-07
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 13 18 4 18 22 -1 5 4 72.22 81.82
9 AllianceBernstein Hong Kong Limited 3 15 18 5 15 20 2 0 2 83.33 75.00
10 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 11 16 5 15 20 0 4 4 68.75 75.00
11 BREVAN HOWARD (HONG KONG) LIMITED 0 0 0 3 17 20 3 17 20 - 85.00 2008-03-12 2018-05-11
12 GET NICE FUTURES COMPANY LIMITED 3 15 18 3 16 19 0 1 1 83.33 84.21
13 BEAR STEARNS ASIA LIMITED 3 8 11 2 15 17 -1 7 6 72.73 88.24 2005-11-29 2010-04-28
14 CHARLES SCHWAB, HONG KONG, LIMITED 5 11 16 5 12 17 0 1 1 68.75 70.59 2016-08-31
15 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 10 14 3 14 17 -1 4 3 71.43 82.35
16 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 2 12 14 2 14 16 0 2 2 85.71 87.50 2011-03-23
17 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 9 14 6 9 15 1 0 1 64.29 60.00
18 GOLDMAN SACHS FUTURES (ASIA) LIMITED 8 3 11 8 6 14 0 3 3 27.27 42.86 2016-10-10
19 AD Capital Management (Hong Kong) Limited 2 3 5 2 10 12 0 7 7 60.00 83.33 2004-09-08
20 GOLDMAN SACHS (ASIA) L.L.C. 6 7 13 6 6 12 0 -1 -1 53.85 50.00
21 HSBC FUTURES (SINGAPORE) PTE LTD 3 13 16 3 9 12 0 -4 -4 81.25 75.00 2007-04-20 2012-08-08
22 OCP Asia (Hong Kong) Limited 2 8 10 2 10 12 0 2 2 80.00 83.33 2004-09-03 2022-06-13
23 GENERALI INVESTMENTS ASIA LIMITED 0 0 0 3 8 11 3 8 11 - 72.73 2007-12-28 2018-09-26
24 HAITONG INTERNATIONAL FUTURES LIMITED 5 5 10 6 5 11 1 0 1 50.00 45.45
25 Manulife Investment Management (Hong Kong) Limited 4 8 12 3 8 11 -1 0 -1 66.67 72.73
26 RAB CAPITAL (ASIA) LIMITED 0 0 0 5 6 11 5 6 11 - 54.55 2007-09-28 2010-11-22
27 Tyric Capital Limited 3 4 7 4 7 11 1 3 4 57.14 63.64 2003-11-13
28 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 2 4 3 7 10 1 5 6 50.00 70.00
29 OLD PEAK LIMITED (HK) 3 6 9 4 6 10 1 0 1 66.67 60.00 2005-08-26 2023-06-20
30 WINNINGTON CAPITAL LIMITED 2 5 7 2 8 10 0 3 3 71.43 80.00
31 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
32 AXA Investment Managers Asia Limited 3 6 9 3 6 9 0 0 0 66.67 66.67 2015-06-15
33 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 7 9 4 5 9 2 -2 0 77.78 55.56 2018-12-31
34 HANG SENG FUTURES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
35 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 3 5 2 7 9 0 4 4 60.00 77.78 2012-01-12
36 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2015-06-15
37 HAMON ASSET MANAGEMENT LIMITED 2 4 6 3 5 8 1 1 2 66.67 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 3 5 8 1 3 4 50.00 62.50 2005-08-26
40 PFP Capital Limited 2 4 6 3 5 8 1 1 2 66.67 62.50
41 CAPE ASSET MANAGEMENT LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2006-05-23 2024-03-13
42 HSBC Global Asset Management (Hong Kong) Limited 2 5 7 2 5 7 0 0 0 71.43 71.43
43 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 5 2 7 1 -1 0 42.86 28.57 2013-11-25
44 WFM Asia (HK) Limited 3 3 6 3 4 7 0 1 1 50.00 57.14 2013-11-05
45 Ark Futures (Hong Kong) Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2006-02-07
46 BEAR STEARNS HONG KONG LIMITED 2 5 7 1 5 6 -1 0 -1 71.43 83.33 2009-05-14
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 4 2 6 1 -1 0 50.00 33.33
50 FIL Investment Management (Hong Kong) Limited 3 3 6 4 2 6 1 -1 0 50.00 33.33
51 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 3 3 6 2 4 6 -1 1 0 50.00 66.67 2024-03-21
52 GAM HONG KONG LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2013-06-19
53 Halbis Capital Management (Hong Kong) Limited 4 3 7 4 2 6 0 -1 -1 42.86 33.33 2005-06-23 2012-05-11
54 Standard Advisory Asia Limited 3 0 3 3 3 6 0 3 3 0.00 50.00 2007-03-09 2013-04-12
55 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67 2015-02-09
56 AlTi Wealth Management (Hong Kong) Limited 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2004-05-11
57 AP Asset Management (HK) Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2004-08-26 2013-12-04
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 DEUTSCHE SECURITIES ASIA LIMITED 2 2 4 3 2 5 1 0 1 50.00 40.00 2004-01-08 2020-02-04
63 EMPEROR FUTURES LIMITED 2 0 2 3 2 5 1 2 3 0.00 40.00
64 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 0 0 0 4 1 5 4 1 5 - 20.00 2008-07-03
65 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00
66 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
67 KGI FUTURES (HONG KONG) LIMITED 3 0 3 3 2 5 0 2 2 0.00 40.00
68 MUSHK Limited 5 0 5 5 0 5 0 0 0 0.00 0.00 2011-06-01
69 OVERLOOK INVESTMENTS LIMITED 2 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 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 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 3 2 5 3 1 4 0 -1 -1 40.00 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 4 6 3 1 4 1 -3 -2 66.67 25.00 2005-03-08 2022-03-16
81 ENHANCED INVESTMENT PRODUCTS LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
82 Funderstone Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00
83 GINGER CAPITAL MANAGEMENT LIMITED 4 1 5 4 0 4 0 -1 -1 20.00 0.00 2004-11-18 2009-05-29
84 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2020-06-02
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 ICBC Asset Management (Global) Company Limited 3 0 3 3 1 4 0 1 1 0.00 25.00
87 INVESCO HONG KONG LIMITED 2 0 2 3 1 4 1 1 2 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 BOCOM International Securities Limited 0 0 0 3 0 3 3 0 3 - 0.00 2007-09-10
93 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
94 Funderstone Asset Management (HK) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-11-14
95 GUOYUAN FUTURES (HONG KONG) LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2008-03-05
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 2 1 3 -1 -1 -2 40.00 33.33 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 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
111 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
112 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
113 GCIS LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2007-11-22 2010-02-09
114 HAI TONG SECURITIES (HK) BROKERAGE LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2007-12-18 2011-02-23
115 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
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 NATIXIS ASIA LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2008-08-05
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 0 2 2 0 2 0 0 0 0.00 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 Fortress Investment Group (Hong Kong) LLC 2 0 2 0 0 0 -2 0 -2 0.00 - 2006-06-07 2008-08-07
131 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-09-05
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 2.70 4.73 7.43 2.86 5.64 8.50 63.68 66.36

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