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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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:

Some data are hidden to fit your display. Rotate?

2008-06-30 2009-06-30 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 4 88 92 7 73 80 3 -15 -12 95.65 91.25 2003-12-02
2 FT Securities Limited 2 70 72 2 59 61 0 -11 -11 97.22 96.72 2005-09-22 2012-07-13
3 PHILLIP COMMODITIES (H.K.) LIMITED 2 18 20 2 51 53 0 33 33 90.00 96.23
4 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 33 36 3 37 40 0 4 4 91.67 92.50 2004-10-14
5 JPMorgan Asset Management (Asia Pacific) Limited 3 32 35 3 30 33 0 -2 -2 91.43 90.91
6 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 15 20 5 17 22 0 2 2 75.00 77.27
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 15 19 5 15 20 1 0 1 78.95 75.00
8 GET NICE FUTURES COMPANY LIMITED 3 16 19 2 16 18 -1 0 -1 84.21 88.89
9 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 2 13 15 3 14 17 1 1 2 86.67 82.35 2011-03-23
10 AllianceBernstein Hong Kong Limited 5 16 21 5 10 15 0 -6 -6 76.19 66.67
11 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 8 14 6 9 15 0 1 1 57.14 60.00
12 CHARLES SCHWAB, HONG KONG, LIMITED 5 10 15 4 11 15 -1 1 0 66.67 73.33 2016-08-31
13 Morgan Stanley Asia Limited 4 18 22 4 11 15 0 -7 -7 81.82 73.33 2006-04-07
14 Oasis Management (Hong Kong) 2 22 24 3 12 15 1 -10 -9 91.67 80.00 2004-09-14
15 Manulife Investment Management (Hong Kong) Limited 3 7 10 3 11 14 0 4 4 70.00 78.57
16 NOMURA INTERNATIONAL (HONG KONG) LIMITED 2 13 15 4 10 14 2 -3 -1 86.67 71.43
17 BEAR STEARNS ASIA LIMITED 2 8 10 2 11 13 0 3 3 80.00 84.62 2005-11-29 2010-04-28
18 GOLDMAN SACHS (ASIA) L.L.C. 6 6 12 4 8 12 -2 2 0 50.00 66.67
19 HAITONG INTERNATIONAL FUTURES LIMITED 6 5 11 5 7 12 -1 2 1 45.45 58.33
20 HANG SENG FUTURES LIMITED 2 7 9 2 10 12 0 3 3 77.78 83.33 2017-11-17
21 GENERALI INVESTMENTS ASIA LIMITED 3 7 10 3 8 11 0 1 1 70.00 72.73 2007-12-28 2018-09-26
22 GOLDMAN SACHS FUTURES (ASIA) LIMITED 8 6 14 5 6 11 -3 0 -3 42.86 54.55 2016-10-10
23 HSBC FUTURES (SINGAPORE) PTE LTD 3 10 13 3 8 11 0 -2 -2 76.92 72.73 2007-04-20 2012-08-08
24 Allianz Global Investors Asia Pacific Limited (SFC:AOA171) 3 6 9 4 6 10 1 0 1 66.67 60.00 2007-01-12 2015-05-31
25 Fidelity Management & Research (Hong Kong) Limited 0 0 0 4 6 10 4 6 10 - 60.00 2008-09-04 2013-12-19
26 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 5 7 3 7 10 1 2 3 71.43 70.00
27 MF Global Hong Kong Limited 2 5 7 3 7 10 1 2 3 71.43 70.00 2005-08-26
28 AD Capital Management (Hong Kong) Limited 2 7 9 2 7 9 0 0 0 77.78 77.78 2004-09-08
29 AXA Investment Managers Asia Limited 3 6 9 4 5 9 1 -1 0 66.67 55.56 2015-06-15
30 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 3 5 2 7 9 0 4 4 60.00 77.78
31 OCP Asia (Hong Kong) Limited 2 10 12 2 7 9 0 -3 -3 83.33 77.78 2004-09-03 2022-06-13
32 OLD PEAK LIMITED (HK) 4 6 10 4 5 9 0 -1 -1 60.00 55.56 2005-08-26 2023-06-20
33 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 4 6 2 7 9 0 3 3 66.67 77.78 2012-01-12
34 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 5 8 4 4 8 1 -1 0 62.50 50.00 2015-06-15
35 CAPE ASSET MANAGEMENT LIMITED 4 3 7 4 4 8 0 1 1 42.86 50.00 2006-05-23 2024-03-13
36 HAMON ASSET MANAGEMENT LIMITED 3 4 7 3 5 8 0 1 1 57.14 62.50
37 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
38 PFP Capital Limited 3 4 7 3 5 8 0 1 1 57.14 62.50
39 Ark Futures (Hong Kong) Limited 2 3 5 3 4 7 1 1 2 60.00 57.14 2006-02-07
40 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 4 5 9 3 4 7 -1 -1 -2 55.56 57.14 2018-12-31
41 HSBC Global Asset Management (Hong Kong) Limited 2 5 7 2 5 7 0 0 0 71.43 71.43
42 RAB CAPITAL (ASIA) LIMITED 5 5 10 3 4 7 -2 -1 -3 50.00 57.14 2007-09-28 2010-11-22
43 RG ASSET MANAGEMENT COMPANY LIMITED 5 2 7 4 3 7 -1 1 0 28.57 42.86 2013-11-25
44 AlTi Wealth Management (Hong Kong) Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2004-05-11
45 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
46 BOCI SECURITIES LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2005-10-06
47 GAM HONG KONG LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2013-06-19
48 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 0 0 0 5 1 6 5 1 6 - 16.67 2008-07-03
49 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
50 ICBC Asset Management (Global) Company Limited 3 0 3 4 2 6 1 2 3 0.00 33.33
51 NATIXIS ASIA LIMITED 0 0 0 3 3 6 3 3 6 - 50.00 2008-08-05
52 Tyric Capital Limited 4 8 12 3 3 6 -1 -5 -6 66.67 50.00 2003-11-13
53 WINNINGTON CAPITAL LIMITED 2 8 10 2 4 6 0 -4 -4 80.00 66.67
54 Yuanta Asia Investment (Hong Kong) Limited 2 0 2 2 4 6 0 4 4 0.00 66.67 2003-08-13 2013-11-01
55 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-03
56 BREVAN HOWARD (HONG KONG) LIMITED 3 17 20 3 2 5 0 -15 -15 85.00 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 1 4 3 2 5 0 1 1 25.00 40.00 2006-05-23 2017-07-25
60 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 3 2 5 1 0 1 50.00 40.00
61 ENHANCED INVESTMENT PRODUCTS LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
62 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
63 KGI FUTURES (HONG KONG) LIMITED 3 1 4 4 1 5 1 0 1 25.00 20.00
64 OVERLOOK INVESTMENTS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-01-05
65 SOFAER GLOBAL RESEARCH (HK) LIMITED 3 2 5 2 3 5 -1 1 0 40.00 60.00 2011-01-18
66 Standard Advisory Asia Limited 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2007-03-09 2013-04-12
67 UPBEST COMMODITIES COMPANY LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00
68 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2007-11-19
69 VALUE PARTNERS LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00
70 WFM Asia (HK) Limited 3 4 7 3 2 5 0 -2 -2 57.14 40.00 2013-11-05
71 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2015-02-09
72 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-04-19
73 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00
74 AKTIS CAPITAL ADVISORY LIMITED 4 0 4 4 0 4 0 0 0 0.00 0.00 2003-11-29
75 AP Asset Management (HK) Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2004-08-26 2013-12-04
76 BALLINGAL INVESTMENT ADVISORS LIMITED 3 0 3 2 2 4 -1 2 1 0.00 50.00 2004-08-13
77 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
78 BOCOM International Securities Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2007-09-10
79 CES Capital International (Hong Kong) Co., Limited 0 0 0 3 1 4 3 1 4 - 25.00 2009-05-29 2023-02-23
80 DEUTSCHE SECURITIES ASIA LIMITED 3 1 4 2 2 4 -1 1 0 25.00 50.00 2004-01-08 2020-02-04
81 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-03-08 2022-03-16
82 EMPEROR FUTURES LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00
83 FIL Investment Management (Hong Kong) Limited 4 2 6 3 1 4 -1 -1 -2 33.33 25.00
84 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 3 3 6 2 2 4 -1 -1 -2 50.00 50.00 2024-03-21
85 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2020-06-02
86 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
87 Metaverse Securities Limited (HK) 2 1 3 2 2 4 0 1 1 33.33 50.00
88 PEACE TOWN FUTURES LIMITED 4 1 5 4 0 4 0 -1 -1 20.00 0.00 2012-09-27
89 SHACOM FUTURES LIMITED 3 2 5 2 2 4 -1 0 -1 40.00 50.00
90 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
91 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2012-06-25
92 BEA Union Investment Management Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2022-07-12
93 CLSA FUTURES LIMITED 3 2 5 2 1 3 -1 -1 -2 40.00 33.33 2016-06-02
94 Credit Suisse (Hong Kong) Limited 0 0 0 3 0 3 3 0 3 - 0.00 2008-11-04 2024-09-27
95 FIL Investment Advisors 4 2 6 3 0 3 -1 -2 -3 33.33 0.00
96 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
97 Funderstone Futures Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33
98 GUOYUAN FUTURES (HONG KONG) LIMITED 3 0 3 2 1 3 -1 1 0 0.00 33.33 2008-03-05
99 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
100 MUSHK Limited 5 0 5 3 0 3 -2 0 -2 0.00 0.00 2011-06-01
101 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
102 PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2008-05-29 2014-04-17
103 Pyramis Global Advisors (Hong Kong) Limited 0 0 0 3 0 3 3 0 3 - 0.00 2008-07-29 2013-11-15
104 SATTVA INVESTMENT ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2003-10-30 2015-04-22
105 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
106 SINOPAC FUTURES (ASIA) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-09-25
107 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
108 Vicis Capital (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2008-11-26 2010-06-15
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 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
112 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
113 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
114 Funderstone Asset Management (HK) Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-11-14
115 GCIS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2007-11-22 2010-02-09
116 GOLDEN GREAT CHINA FUND MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2008-12-02 2010-06-01
117 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
118 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
119 Imperium International Asset Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2008-12-02
120 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-02-07 2010-05-10
121 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
122 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
123 KINGDOM INVESTMENT MANAGERS LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2008-12-02 2012-12-14
124 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
125 MAGUSTA FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-02-26
126 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
127 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
128 SDHG International Asset Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2008-12-02
129 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
130 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
131 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2011-01-07
132 BEAR STEARNS HONG KONG LIMITED 2 5 7 0 0 0 -2 -5 -7 71.43 - 2009-05-14
133 FORTIS INVESTMENT MANAGEMENT HONG KONG LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2007-10-31 2008-09-11
134 Fortress Investment Group (Hong Kong) LLC 2 0 2 0 0 0 -2 0 -2 0.00 - 2006-06-07 2008-08-07
135 GINGER CAPITAL MANAGEMENT LIMITED 4 0 4 0 0 0 -4 0 -4 0.00 - 2004-11-18 2009-05-29
136 HSBC GUYERZELLER FAR EAST LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2005-02-02 2009-08-31
137 PACIFIC CHALLENGE FUTURES HONG KONG LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-09-05
138 PIPER JAFFRAY ASIA ASSET MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-03-09 2008-10-08
Average 2.83 5.24 8.07 2.79 5.04 7.82 64.98 64.39

Sign up for our free newsletter

Recommend Webb-site to a friend

Copyright & disclaimer, Privacy policy

Back to top