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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2008-02-28 2009-02-28 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 4 75 79 6 83 89 2 8 10 94.94 93.26 2003-12-02
2 FT Securities Limited 3 68 71 2 71 73 -1 3 2 95.77 97.26 2005-09-22 2012-07-13
3 PHILLIP COMMODITIES (H.K.) LIMITED 2 20 22 2 39 41 0 19 19 90.91 95.12
4 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 32 35 3 36 39 0 4 4 91.43 92.31 2004-10-14
5 JPMorgan Asset Management (Asia Pacific) Limited 3 30 33 3 30 33 0 0 0 90.91 90.91
6 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 15 20 5 17 22 0 2 2 75.00 77.27
7 Morgan Stanley Asia Limited 3 19 22 4 16 20 1 -3 -2 86.36 80.00 2006-04-07
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 14 19 5 15 20 0 1 1 73.68 75.00
9 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 2 13 15 3 15 18 1 2 3 86.67 83.33 2011-03-23
10 GET NICE FUTURES COMPANY LIMITED 3 16 19 2 16 18 -1 0 -1 84.21 88.89
11 NOMURA INTERNATIONAL (HONG KONG) LIMITED 3 11 14 5 12 17 2 1 3 78.57 70.59
12 AllianceBernstein Hong Kong Limited 5 15 20 5 11 16 0 -4 -4 75.00 68.75
13 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 7 13 6 9 15 0 2 2 53.85 60.00
14 CHARLES SCHWAB, HONG KONG, LIMITED 5 12 17 5 10 15 0 -2 -2 70.59 66.67 2016-08-31
15 Oasis Management (Hong Kong) 2 20 22 4 11 15 2 -9 -7 90.91 73.33 2004-09-14
16 BEAR STEARNS ASIA LIMITED 3 8 11 2 11 13 -1 3 2 72.73 84.62 2005-11-29 2010-04-28
17 HANG SENG FUTURES LIMITED 2 6 8 2 10 12 0 4 4 75.00 83.33 2017-11-17
18 MF Global Hong Kong Limited 2 2 4 3 9 12 1 7 8 50.00 75.00 2005-08-26
19 AD Capital Management (Hong Kong) Limited 2 5 7 2 9 11 0 4 4 71.43 81.82 2004-09-08
20 GOLDMAN SACHS (ASIA) L.L.C. 7 6 13 4 7 11 -3 1 -2 46.15 63.64
21 HAITONG INTERNATIONAL FUTURES LIMITED 5 5 10 5 6 11 0 1 1 50.00 54.55
22 RAB CAPITAL (ASIA) LIMITED 4 8 12 5 6 11 1 -2 -1 66.67 54.55 2007-09-28 2010-11-22
23 Allianz Global Investors Asia Pacific Limited (SFC:AOA171) 3 4 7 4 6 10 1 2 3 57.14 60.00 2007-01-12 2015-05-31
24 AXA Investment Managers Asia Limited 3 6 9 4 6 10 1 0 1 66.67 60.00 2015-06-15
25 GENERALI INVESTMENTS ASIA LIMITED 2 0 2 3 7 10 1 7 8 0.00 70.00 2007-12-28 2018-09-26
26 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 3 6 2 8 10 -1 5 4 50.00 80.00
27 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 1 3 3 7 10 1 6 7 33.33 70.00
28 HSBC FUTURES (SINGAPORE) PTE LTD 3 13 16 2 8 10 -1 -5 -6 81.25 80.00 2007-04-20 2012-08-08
29 Manulife Investment Management (Hong Kong) Limited 4 6 10 3 7 10 -1 1 0 60.00 70.00
30 OCP Asia (Hong Kong) Limited 2 9 11 2 8 10 0 -1 -1 81.82 80.00 2004-09-03 2022-06-13
31 OLD PEAK LIMITED (HK) 4 6 10 4 6 10 0 0 0 60.00 60.00 2005-08-26 2023-06-20
32 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 5 8 4 5 9 1 0 1 62.50 55.56 2015-06-15
33 GOLDMAN SACHS FUTURES (ASIA) LIMITED 8 4 12 3 6 9 -5 2 -3 33.33 66.67 2016-10-10
34 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 5 7 2 7 9 0 2 2 71.43 77.78 2012-01-12
35 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 7 9 3 5 8 1 -2 -1 77.78 62.50 2018-12-31
36 CAPE ASSET MANAGEMENT LIMITED 4 4 8 4 4 8 0 0 0 50.00 50.00 2006-05-23 2024-03-13
37 Fidelity Management & Research (Hong Kong) Limited 0 0 0 4 4 8 4 4 8 - 50.00 2008-09-04 2013-12-19
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 HSBC Global Asset Management (Hong Kong) Limited 2 5 7 2 5 7 0 0 0 71.43 71.43
42 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2013-11-25
43 Ark Futures (Hong Kong) Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2006-02-07
44 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
45 BOCI SECURITIES LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2005-10-06
46 GAM HONG KONG LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2013-06-19
47 Halbis Capital Management (Hong Kong) Limited 5 3 8 4 2 6 -1 -1 -2 37.50 33.33 2005-06-23 2012-05-11
48 ICBC Asset Management (Global) Company Limited 3 0 3 4 2 6 1 2 3 0.00 33.33
49 NATIXIS ASIA LIMITED 0 0 0 2 4 6 2 4 6 - 66.67 2008-08-05
50 Standard Advisory Asia Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2007-03-09 2013-04-12
51 Tyric Capital Limited 4 7 11 2 4 6 -2 -3 -5 63.64 66.67 2003-11-13
52 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67 2015-02-09
53 WINNINGTON CAPITAL LIMITED 2 7 9 2 4 6 0 -3 -3 77.78 66.67
54 AlTi Wealth Management (Hong Kong) Limited 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2004-05-11
55 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2010-11-03
56 BREVAN HOWARD (HONG KONG) LIMITED 0 0 0 3 2 5 3 2 5 - 40.00 2008-03-12 2018-05-11
57 CHIEF COMMODITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2006-05-17 2025-08-31
58 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
59 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2006-05-23 2017-07-25
60 DEUTSCHE SECURITIES ASIA LIMITED 3 1 4 4 1 5 1 0 1 25.00 20.00 2004-01-08 2020-02-04
61 ENHANCED INVESTMENT PRODUCTS LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
62 FIL Investment Management (Hong Kong) Limited 3 3 6 4 1 5 1 -2 -1 50.00 20.00
63 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 0 0 0 4 1 5 4 1 5 - 20.00 2008-07-03
64 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
65 KGI FUTURES (HONG KONG) LIMITED 3 1 4 4 1 5 1 0 1 25.00 20.00
66 OVERLOOK INVESTMENTS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-01-05
67 SHACOM FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
68 SOFAER GLOBAL RESEARCH (HK) LIMITED 3 2 5 2 3 5 -1 1 0 40.00 60.00 2011-01-18
69 UPBEST COMMODITIES COMPANY LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00
70 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2007-11-19
71 VALUE PARTNERS LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00
72 WFM Asia (HK) Limited 3 4 7 3 2 5 0 -2 -2 57.14 40.00 2013-11-05
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 AP Asset Management (HK) Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2004-08-26 2013-12-04
77 BALLINGAL INVESTMENT ADVISORS LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2004-08-13
78 BLUE POOL CAPITAL LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2004-11-10 2015-12-01
79 BOCOM International Securities Limited 5 0 5 4 0 4 -1 0 -1 0.00 0.00 2007-09-10
80 CLSA FUTURES LIMITED 3 5 8 3 1 4 0 -4 -4 62.50 25.00 2016-06-02
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 3 5 3 1 4 1 -2 -1 60.00 25.00 2005-03-08 2022-03-16
83 EMPEROR FUTURES LIMITED 1 0 1 3 1 4 2 1 3 0.00 25.00
84 FIL Investment Advisors 3 3 6 4 0 4 1 -3 -2 50.00 0.00
85 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 3 3 6 2 2 4 -1 -1 -2 50.00 50.00 2024-03-21
86 GINGER CAPITAL MANAGEMENT LIMITED 4 2 6 4 0 4 0 -2 -2 33.33 0.00 2004-11-18 2009-05-29
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 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
89 Metaverse Securities Limited (HK) 2 1 3 2 2 4 0 1 1 33.33 50.00
90 MUSHK Limited 5 0 5 4 0 4 -1 0 -1 0.00 0.00 2011-06-01
91 PEACE TOWN FUTURES LIMITED 4 1 5 4 0 4 0 -1 -1 20.00 0.00 2012-09-27
92 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
93 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2012-06-25
94 Credit Suisse (Hong Kong) Limited 0 0 0 3 0 3 3 0 3 - 0.00 2008-11-04 2024-09-27
95 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
96 Funderstone Futures Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33
97 GUOYUAN FUTURES (HONG KONG) LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2008-03-05
98 HSBC GUYERZELLER FAR EAST LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2005-02-02 2009-08-31
99 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
100 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
101 PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2008-05-29 2014-04-17
102 Pyramis Global Advisors (Hong Kong) Limited 0 0 0 3 0 3 3 0 3 - 0.00 2008-07-29 2013-11-15
103 SATTVA INVESTMENT ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2003-10-30 2015-04-22
104 SBI China Capital Commodities Limited 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2013-07-16
105 SINOPAC FUTURES (ASIA) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-09-25
106 SKY WARD GLOBAL MANAGEMENT LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-07-10
107 Vicis Capital (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2008-11-26 2010-06-15
108 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
109 YUE XIU FUTURES COMPANY LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2024-07-30
110 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2014-05-07
111 BEA Union Investment Management Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2022-07-12
112 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
113 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
114 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
115 Funderstone Asset Management (HK) Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-11-14
116 GCIS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2007-11-22 2010-02-09
117 GOLDEN GREAT CHINA FUND MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2008-12-02 2010-06-01
118 HAI TONG SECURITIES (HK) BROKERAGE LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2007-12-18 2011-02-23
119 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
120 Imperium International Asset Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2008-12-02
121 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-02-07 2010-05-10
122 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
123 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
124 KINGDOM INVESTMENT MANAGERS LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2008-12-02 2012-12-14
125 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
126 MAGUSTA FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-02-26
127 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
128 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
129 SDHG International Asset Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2008-12-02
130 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
131 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
132 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2011-01-07
133 BEAR STEARNS HONG KONG LIMITED 2 5 7 0 0 0 -2 -5 -7 71.43 - 2009-05-14
134 BOCOM International Holdings Company Limited 5 0 5 0 0 0 -5 0 -5 0.00 - 2005-08-24 2010-03-09
135 CHINA TONG BAO INSURANCE BROKERS LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2008-05-13
136 FORTIS INVESTMENT MANAGEMENT HONG KONG LIMITED 1 3 4 0 0 0 -1 -3 -4 75.00 - 2007-10-31 2008-09-11
137 Fortress Investment Group (Hong Kong) LLC 2 0 2 0 0 0 -2 0 -2 0.00 - 2006-06-07 2008-08-07
138 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-09-05
139 PIPER JAFFRAY ASIA ASSET MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-03-09 2008-10-08
140 Standard Commodities (Asia) Limited 3 5 8 0 0 0 -3 -5 -8 62.50 - 2008-05-16
Average 2.78 4.98 7.76 2.81 5.13 7.94 64.16 64.60

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