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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2007-09-30 2008-09-30 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 58 61 6 90 96 3 32 35 95.08 93.75 2003-12-02
2 FT Securities Limited 3 71 74 2 75 77 -1 4 3 95.95 97.40 2005-09-22 2012-07-13
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 31 34 3 35 38 0 4 4 91.18 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 30 32 0 11 11 90.48 93.75
6 Oasis Management (Hong Kong) 2 16 18 4 19 23 2 3 5 88.89 82.61 2004-09-14
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 14 19 4 19 23 -1 5 4 73.68 82.61
8 Morgan Stanley Asia Limited 4 19 23 5 17 22 1 -2 -1 82.61 77.27 2006-04-07
9 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 11 16 5 16 21 0 5 5 68.75 76.19
10 BREVAN HOWARD (HONG KONG) LIMITED 0 0 0 3 17 20 3 17 20 - 85.00 2008-03-12 2018-05-11
11 AllianceBernstein Hong Kong Limited 3 16 19 5 14 19 2 -2 0 84.21 73.68
12 BEAR STEARNS ASIA LIMITED 3 8 11 3 16 19 0 8 8 72.73 84.21 2005-11-29 2010-04-28
13 GET NICE FUTURES COMPANY LIMITED 3 15 18 3 16 19 0 1 1 83.33 84.21
14 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 2 12 14 2 16 18 0 4 4 85.71 88.89 2011-03-23
15 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 10 14 3 14 17 -1 4 3 71.43 82.35
16 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 8 13 6 9 15 1 1 2 61.54 60.00
17 CHARLES SCHWAB, HONG KONG, LIMITED 5 10 15 5 10 15 0 0 0 66.67 66.67 2016-08-31
18 GENERALI INVESTMENTS ASIA LIMITED 0 0 0 3 10 13 3 10 13 - 76.92 2007-12-28 2018-09-26
19 GOLDMAN SACHS FUTURES (ASIA) LIMITED 8 3 11 7 6 13 -1 3 2 27.27 46.15 2016-10-10
20 AD Capital Management (Hong Kong) Limited 2 3 5 2 10 12 0 7 7 60.00 83.33 2004-09-08
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 Tyric Capital Limited 3 5 8 5 7 12 2 2 4 62.50 58.33 2003-11-13
23 GOLDMAN SACHS (ASIA) L.L.C. 6 7 13 5 6 11 -1 -1 -2 53.85 54.55
24 HAITONG INTERNATIONAL FUTURES LIMITED 5 5 10 6 5 11 1 0 1 50.00 45.45
25 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 2 4 3 8 11 1 6 7 50.00 72.73
26 RAB CAPITAL (ASIA) LIMITED 3 0 3 5 6 11 2 6 8 0.00 54.55 2007-09-28 2010-11-22
27 HSBC FUTURES (SINGAPORE) PTE LTD 3 14 17 1 9 10 -2 -5 -7 82.35 90.00 2007-04-20 2012-08-08
28 Manulife Investment Management (Hong Kong) Limited 4 8 12 3 7 10 -1 -1 -2 66.67 70.00
29 OLD PEAK LIMITED (HK) 4 5 9 4 6 10 0 1 1 55.56 60.00 2005-08-26 2023-06-20
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 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
34 MF Global Hong Kong Limited 2 2 4 3 6 9 1 4 5 50.00 66.67 2005-08-26
35 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 3 5 2 7 9 0 4 4 60.00 77.78 2012-01-12
36 WINNINGTON CAPITAL LIMITED 2 5 7 2 7 9 0 2 2 71.43 77.78
37 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2015-06-15
38 HAMON ASSET MANAGEMENT LIMITED 2 5 7 3 5 8 1 0 1 71.43 62.50
39 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
40 PFP Capital Limited 2 5 7 3 5 8 1 0 1 71.43 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 CHIEF COMMODITIES LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67 2006-05-17 2025-08-31
50 Fidelity Management & Research (Hong Kong) Limited 0 0 0 4 2 6 4 2 6 - 33.33 2008-09-04 2013-12-19
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 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67
54 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
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 BNP PARIBAS DEALING SERVICES ASIA LIMITED 1 1 2 2 3 5 1 2 3 50.00 60.00 2010-11-03
58 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
59 CLSA FUTURES LIMITED 3 5 8 3 2 5 0 -3 -3 62.50 40.00 2016-06-02
60 DEUTSCHE SECURITIES ASIA LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2004-01-08 2020-02-04
61 EMPEROR FUTURES LIMITED 2 0 2 3 2 5 1 2 3 0.00 40.00
62 FIL Investment Advisors 3 3 6 4 1 5 1 -2 -1 50.00 20.00
63 FIL Investment Management (Hong Kong) Limited 3 3 6 4 1 5 1 -2 -1 50.00 20.00
64 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 0 0 0 4 1 5 4 1 5 - 20.00 2008-07-03
65 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
66 ICBC Asset Management (Global) Company Limited 3 0 3 3 2 5 0 2 2 0.00 40.00
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 Standard Advisory Asia Limited 3 0 3 3 2 5 0 2 2 0.00 40.00 2007-03-09 2013-04-12
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 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
76 AKTIS CAPITAL ADVISORY LIMITED 3 0 3 4 0 4 1 0 1 0.00 0.00 2003-11-29
77 AP Asset Management (HK) Limited 2 4 6 2 2 4 0 -2 -2 66.67 50.00 2004-08-26 2013-12-04
78 BALLINGAL INVESTMENT ADVISORS LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2004-08-13
79 BLUE POOL CAPITAL LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2004-11-10 2015-12-01
80 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2006-05-23 2017-07-25
81 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
82 ELLIOTT ADVISORS (HK) LIMITED 2 4 6 3 1 4 1 -3 -2 66.67 25.00 2005-03-08 2022-03-16
83 ENHANCED INVESTMENT PRODUCTS LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
84 Funderstone Futures Limited 2 2 4 2 2 4 0 0 0 50.00 50.00
85 GINGER CAPITAL MANAGEMENT LIMITED 4 2 6 4 0 4 0 -2 -2 33.33 0.00 2004-11-18 2009-05-29
86 GUOYUAN FUTURES (HONG KONG) LIMITED 0 0 0 3 1 4 3 1 4 - 25.00 2008-03-05
87 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2020-06-02
88 HSBC GUYERZELLER FAR EAST LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-02-02 2009-08-31
89 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 4 0 4 2 0 2 0.00 0.00 2006-02-07 2010-05-10
90 INVESCO HONG KONG LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00
91 Metaverse Securities Limited (HK) 2 2 4 2 2 4 0 0 0 50.00 50.00
92 SOFAER GLOBAL RESEARCH (HK) LIMITED 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2011-01-18
93 ADMIS Hong Kong Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33
94 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2012-06-25
95 BOCOM International Securities Limited 5 0 5 3 0 3 -2 0 -2 0.00 0.00 2007-09-10
96 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
97 Funderstone Asset Management (HK) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-11-14
98 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
99 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
100 Pyramis Global Advisors (Hong Kong) Limited 0 0 0 3 0 3 3 0 3 - 0.00 2008-07-29 2013-11-15
101 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2003-10-30 2015-04-22
102 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
103 SINOPAC FUTURES (ASIA) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-09-25
104 SKY WARD GLOBAL MANAGEMENT LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-07-10
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 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2014-05-07
109 BEA Union Investment Management Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2022-07-12
110 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
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 GCIS LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2007-11-22 2010-02-09
115 HAI TONG SECURITIES (HK) BROKERAGE LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2007-12-18 2011-02-23
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 NATIXIS ASIA LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2008-08-05
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 1 0 1 -1 0 -1 0.00 0.00 2024-07-30
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 Fortress Investment Group (Hong Kong) LLC 2 0 2 0 0 0 -2 0 -2 0.00 - 2006-06-07 2008-08-07
132 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-09-05
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 2 4 6 0 0 0 -2 -4 -6 66.67 - 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 2.73 4.71 7.44 2.88 5.62 8.49 63.34 66.15

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