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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2008-09-30 2009-09-30 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 6 90 96 7 71 78 1 -19 -18 93.75 91.03 2003-12-02
2 FT Securities Limited 2 75 77 2 59 61 0 -16 -16 97.40 96.72 2005-09-22 2012-07-13
3 PHILLIP COMMODITIES (H.K.) LIMITED 2 30 32 2 56 58 0 26 26 93.75 96.55
4 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 35 38 3 39 42 0 4 4 92.11 92.86 2004-10-14
5 JPMorgan Asset Management (Asia Pacific) Limited 3 32 35 3 31 34 0 -1 -1 91.43 91.18
6 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 16 21 5 17 22 0 1 1 76.19 77.27
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 19 23 5 15 20 1 -4 -3 82.61 75.00
8 GET NICE FUTURES COMPANY LIMITED 3 16 19 2 15 17 -1 -1 -2 84.21 88.24
9 NOMURA INTERNATIONAL (HONG KONG) LIMITED 3 14 17 4 12 16 1 -2 -1 82.35 75.00
10 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 9 15 6 9 15 0 0 0 60.00 60.00
11 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 2 16 18 2 13 15 0 -3 -3 88.89 86.67 2011-03-23
12 CHARLES SCHWAB, HONG KONG, LIMITED 5 10 15 4 10 14 -1 0 -1 66.67 71.43 2016-08-31
13 Manulife Investment Management (Hong Kong) Limited 3 7 10 3 11 14 0 4 4 70.00 78.57
14 Morgan Stanley Asia Limited 5 17 22 4 10 14 -1 -7 -8 77.27 71.43 2006-04-07
15 Oasis Management (Hong Kong) 4 19 23 3 11 14 -1 -8 -9 82.61 78.57 2004-09-14
16 AllianceBernstein Hong Kong Limited 5 14 19 5 8 13 0 -6 -6 73.68 61.54
17 Fidelity Management & Research (Hong Kong) Limited 4 2 6 4 9 13 0 7 7 33.33 69.23 2008-09-04 2013-12-19
18 HAITONG INTERNATIONAL FUTURES LIMITED 6 5 11 5 8 13 -1 3 2 45.45 61.54
19 BEAR STEARNS ASIA LIMITED 3 16 19 2 10 12 -1 -6 -7 84.21 83.33 2005-11-29 2010-04-28
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 10 13 3 8 11 0 -2 -2 76.92 72.73 2007-12-28 2018-09-26
22 GOLDMAN SACHS (ASIA) L.L.C. 5 6 11 4 7 11 -1 1 0 54.55 63.64
23 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 4 6 2 9 11 0 5 5 66.67 81.82
24 HSBC FUTURES (SINGAPORE) PTE LTD 1 9 10 3 8 11 2 -1 1 90.00 72.73 2007-04-20 2012-08-08
25 GOLDMAN SACHS FUTURES (ASIA) LIMITED 7 6 13 5 5 10 -2 -1 -3 46.15 50.00 2016-10-10
26 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 8 11 3 7 10 0 -1 -1 72.73 70.00
27 Allianz Global Investors Asia Pacific Limited (SFC:AOA171) 3 6 9 3 6 9 0 0 0 66.67 66.67 2007-01-12 2015-05-31
28 AXA Investment Managers Asia Limited 3 6 9 4 5 9 1 -1 0 66.67 55.56 2015-06-15
29 MF Global Hong Kong Limited 3 6 9 3 6 9 0 0 0 66.67 66.67 2005-08-26
30 OCP Asia (Hong Kong) Limited 2 10 12 2 7 9 0 -3 -3 83.33 77.78 2004-09-03 2022-06-13
31 OLD PEAK LIMITED (HK) 4 6 10 4 5 9 0 -1 -1 60.00 55.56 2005-08-26 2023-06-20
32 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2012-01-12
33 AD Capital Management (Hong Kong) Limited 2 10 12 2 6 8 0 -4 -4 83.33 75.00 2004-09-08
34 Ark Futures (Hong Kong) Limited 2 4 6 4 4 8 2 0 2 66.67 50.00 2006-02-07
35 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 5 8 4 4 8 1 -1 0 62.50 50.00 2015-06-15
36 HAMON ASSET MANAGEMENT LIMITED 3 5 8 3 5 8 0 0 0 62.50 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 5 8 3 5 8 0 0 0 62.50 62.50
39 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 4 5 9 3 4 7 -1 -1 -2 55.56 57.14 2018-12-31
40 CAPE ASSET MANAGEMENT LIMITED 4 3 7 3 4 7 -1 1 0 42.86 57.14 2006-05-23 2024-03-13
41 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 4 1 5 5 2 7 1 1 2 20.00 28.57 2008-07-03
42 HSBC Global Asset Management (Hong Kong) Limited 2 5 7 2 5 7 0 0 0 71.43 71.43
43 RAB CAPITAL (ASIA) LIMITED 5 6 11 3 4 7 -2 -2 -4 54.55 57.14 2007-09-28 2010-11-22
44 RG ASSET MANAGEMENT COMPANY LIMITED 5 2 7 4 3 7 -1 1 0 28.57 42.86 2013-11-25
45 BALLINGAL INVESTMENT ADVISORS LIMITED 3 1 4 2 4 6 -1 3 2 25.00 66.67 2004-08-13
46 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
47 BOCI SECURITIES LIMITED 4 2 6 5 1 6 1 -1 0 33.33 16.67 2005-10-06
48 DEUTSCHE SECURITIES ASIA LIMITED 3 2 5 4 2 6 1 0 1 40.00 33.33 2004-01-08 2020-02-04
49 GAM HONG KONG LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2013-06-19
50 Halbis Capital Management (Hong Kong) Limited 4 2 6 4 2 6 0 0 0 33.33 33.33 2005-06-23 2012-05-11
51 ICBC Asset Management (Global) Company Limited 3 2 5 4 2 6 1 0 1 40.00 33.33
52 NATIXIS ASIA LIMITED 2 0 2 3 3 6 1 3 4 0.00 50.00 2008-08-05
53 WFM Asia (HK) Limited 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2013-11-05
54 WINNINGTON CAPITAL LIMITED 2 7 9 2 4 6 0 -3 -3 77.78 66.67
55 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
56 AlTi Wealth Management (Hong Kong) Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2004-05-11
57 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-03
58 BREVAN HOWARD (HONG KONG) LIMITED 3 17 20 3 2 5 0 -15 -15 85.00 40.00 2008-03-12 2018-05-11
59 CES Capital International (Hong Kong) Co., Limited 0 0 0 3 2 5 3 2 5 - 40.00 2009-05-29 2023-02-23
60 CHIEF COMMODITIES LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 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 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 3 2 5 1 0 1 50.00 40.00
63 ENHANCED INVESTMENT PRODUCTS LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
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 2 5 4 1 5 1 -1 0 40.00 20.00
66 OVERLOOK INVESTMENTS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-01-05
67 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2011-01-18
68 Standard Advisory Asia Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2007-03-09 2013-04-12
69 Tyric Capital Limited 5 7 12 3 2 5 -2 -5 -7 58.33 40.00 2003-11-13
70 UPBEST COMMODITIES COMPANY LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00
71 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2007-11-19
72 VALUE PARTNERS LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00
73 WHARTON INVESTMENT ADVISORS LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 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 4 0 4 4 0 4 0 0 0 0.00 0.00 2003-11-29
76 AP Asset Management (HK) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-08-26 2013-12-04
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 3 0 3 4 0 4 1 0 1 0.00 0.00 2007-09-10
79 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 3 1 4 2 2 4 -1 1 0 25.00 50.00 2006-05-23 2017-07-25
80 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-03-08 2022-03-16
81 EMPEROR FUTURES LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00
82 FIL Investment Advisors 4 1 5 3 1 4 -1 0 -1 20.00 25.00
83 FIL Investment Management (Hong Kong) Limited 4 1 5 3 1 4 -1 0 -1 20.00 25.00
84 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 4 6 2 2 4 0 -2 -2 66.67 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 PEACE TOWN FUTURES LIMITED 4 1 5 4 0 4 0 -1 -1 20.00 0.00 2012-09-27
88 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
89 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
90 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2012-06-25
91 CLSA FUTURES LIMITED 3 2 5 2 1 3 -1 -1 -2 40.00 33.33 2016-06-02
92 Credit Suisse (Hong Kong) Limited 0 0 0 3 0 3 3 0 3 - 0.00 2008-11-04 2024-09-27
93 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
94 Funderstone Futures Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33
95 GUOYUAN FUTURES (HONG KONG) LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2008-03-05
96 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
97 Metaverse Securities Limited (HK) 2 2 4 2 1 3 0 -1 -1 50.00 33.33
98 MUSHK Limited 5 0 5 3 0 3 -2 0 -2 0.00 0.00 2011-06-01
99 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-10-20
100 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
101 Pyramis Global Advisors (Hong Kong) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2008-07-29 2013-11-15
102 SATTVA INVESTMENT ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2003-10-30 2015-04-22
103 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
104 SINOPAC FUTURES (ASIA) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-09-25
105 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
106 Vicis Capital (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2008-11-26 2010-06-15
107 YUE XIU FUTURES COMPANY LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33 2024-07-30
108 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-05-07
109 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 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 CHEONG LEE SECURITIES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2009-08-27
112 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
113 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
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 4 0 4 2 0 2 -2 0 -2 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 SHACOM FUTURES LIMITED 3 2 5 2 0 2 -1 -2 -3 40.00 0.00
131 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
132 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
133 BEAR STEARNS HONG KONG LIMITED 1 5 6 0 0 0 -1 -5 -6 83.33 - 2009-05-14
134 GINGER CAPITAL MANAGEMENT LIMITED 4 0 4 0 0 0 -4 0 -4 0.00 - 2004-11-18 2009-05-29
135 HSBC GUYERZELLER FAR EAST LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2005-02-02 2009-08-31
136 PIPER JAFFRAY ASIA ASSET MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2005-03-09 2008-10-08
Average 2.88 5.62 8.49 2.78 5.01 7.79 66.15 64.30

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