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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2009-01-31 2010-01-31 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 6 84 90 7 81 88 1 -3 -2 93.33 92.05 2003-12-02
2 PHILLIP COMMODITIES (H.K.) LIMITED 2 34 36 2 64 66 0 30 30 94.44 96.97
3 FT Securities Limited 2 73 75 2 57 59 0 -16 -16 97.33 96.61 2005-09-22 2012-07-13
4 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 37 40 3 40 43 0 3 3 92.50 93.02 2004-10-14
5 JPMorgan Asset Management (Asia Pacific) Limited 2 31 33 3 30 33 1 -1 0 93.94 90.91
6 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 2 17 19 3 21 24 1 4 5 89.47 87.50 2011-03-23
7 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 17 22 5 17 22 0 0 0 77.27 77.27
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 17 22 5 14 19 0 -3 -3 77.27 73.68
9 Morgan Stanley Asia Limited 5 14 19 4 12 16 -1 -2 -3 73.68 75.00 2006-04-07
10 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 9 15 5 10 15 -1 1 0 60.00 66.67
11 GET NICE FUTURES COMPANY LIMITED 2 16 18 2 13 15 0 -3 -3 88.89 86.67
12 NOMURA INTERNATIONAL (HONG KONG) LIMITED 5 12 17 4 11 15 -1 -1 -2 70.59 73.33
13 CHARLES SCHWAB, HONG KONG, LIMITED 5 10 15 4 10 14 -1 0 -1 66.67 71.43 2016-08-31
14 Fidelity Management & Research (Hong Kong) Limited 4 3 7 4 9 13 0 6 6 42.86 69.23 2008-09-04 2013-12-19
15 HANG SENG FUTURES LIMITED 2 9 11 2 11 13 0 2 2 81.82 84.62 2017-11-17
16 Manulife Investment Management (Hong Kong) Limited 3 7 10 3 10 13 0 3 3 70.00 76.92
17 HAITONG INTERNATIONAL FUTURES LIMITED 5 6 11 4 8 12 -1 2 1 54.55 66.67
18 HSBC FUTURES (SINGAPORE) PTE LTD 2 9 11 4 8 12 2 -1 1 81.82 66.67 2007-04-20 2012-08-08
19 Oasis Management (Hong Kong) 4 14 18 2 10 12 -2 -4 -6 77.78 83.33 2004-09-14
20 AllianceBernstein Hong Kong Limited 5 11 16 5 6 11 0 -5 -5 68.75 54.55
21 OCP Asia (Hong Kong) Limited 2 8 10 3 8 11 1 0 1 80.00 72.73 2004-09-03 2022-06-13
22 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 7 9 2 9 11 0 2 2 77.78 81.82 2012-01-12
23 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 6 8 2 8 10 0 2 2 75.00 80.00
24 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 7 10 3 7 10 0 0 0 70.00 70.00
25 MF Global Hong Kong Limited 3 7 10 3 7 10 0 0 0 70.00 70.00 2005-08-26
26 AD Capital Management (Hong Kong) Limited 2 9 11 2 7 9 0 -2 -2 81.82 77.78 2004-09-08
27 Allianz Global Investors Asia Pacific Limited (SFC:AOA171) 4 6 10 3 6 9 -1 0 -1 60.00 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 GENERALI INVESTMENTS ASIA LIMITED 3 7 10 3 6 9 0 -1 -1 70.00 66.67 2007-12-28 2018-09-26
30 GOLDMAN SACHS (ASIA) L.L.C. 4 7 11 3 6 9 -1 -1 -2 63.64 66.67
31 GOLDMAN SACHS FUTURES (ASIA) LIMITED 3 6 9 4 5 9 1 -1 0 66.67 55.56 2016-10-10
32 Ark Futures (Hong Kong) Limited 2 4 6 4 4 8 2 0 2 66.67 50.00 2006-02-07
33 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 5 8 4 4 8 1 -1 0 62.50 50.00 2015-06-15
34 DEUTSCHE SECURITIES ASIA LIMITED 4 1 5 4 4 8 0 3 3 20.00 50.00 2004-01-08 2020-02-04
35 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
36 OLD PEAK LIMITED (HK) 4 6 10 4 4 8 0 -2 -2 60.00 50.00 2005-08-26 2023-06-20
37 RAB CAPITAL (ASIA) LIMITED 5 6 11 3 5 8 -2 -1 -3 54.55 62.50 2007-09-28 2010-11-22
38 AlTi Wealth Management (Hong Kong) Limited 2 3 5 3 4 7 1 1 2 60.00 57.14 2004-05-11
39 BALLINGAL INVESTMENT ADVISORS LIMITED 3 1 4 2 5 7 -1 4 3 25.00 71.43 2004-08-13
40 BOCI SECURITIES LIMITED 4 2 6 5 2 7 1 0 1 33.33 28.57 2005-10-06
41 CAPE ASSET MANAGEMENT LIMITED 4 3 7 3 4 7 -1 1 0 42.86 57.14 2006-05-23 2024-03-13
42 Halbis Capital Management (Hong Kong) Limited 4 2 6 4 3 7 0 1 1 33.33 42.86 2005-06-23 2012-05-11
43 HAMON ASSET MANAGEMENT LIMITED 3 5 8 2 5 7 -1 0 -1 62.50 71.43
44 HSBC Global Asset Management (Hong Kong) Limited 2 5 7 2 5 7 0 0 0 71.43 71.43
45 PFP Capital Limited 3 5 8 2 5 7 -1 0 -1 62.50 71.43
46 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 4 5 9 3 3 6 -1 -2 -3 55.56 50.00 2018-12-31
47 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
48 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 4 1 5 4 2 6 0 1 1 20.00 33.33 2008-07-03
49 ICBC Asset Management (Global) Company Limited 4 2 6 4 2 6 0 0 0 33.33 33.33
50 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 4 2 6 0 -1 -1 42.86 33.33 2013-11-25
51 WFM Asia (HK) Limited 3 2 5 3 3 6 0 1 1 40.00 50.00 2013-11-05
52 WINNINGTON CAPITAL LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67
53 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-03
54 BREVAN HOWARD (HONG KONG) LIMITED 3 15 18 3 2 5 0 -13 -13 83.33 40.00 2008-03-12 2018-05-11
55 CES Capital International (Hong Kong) Co., Limited 0 0 0 3 2 5 3 2 5 - 40.00 2009-05-29 2023-02-23
56 CHIEF COMMODITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2006-05-17 2025-08-31
57 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
58 Credit Suisse (Hong Kong) Limited 3 0 3 5 0 5 2 0 2 0.00 0.00 2008-11-04 2024-09-27
59 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 3 2 5 1 0 1 50.00 40.00
60 ENHANCED INVESTMENT PRODUCTS LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
61 GAM HONG KONG LIMITED 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2013-06-19
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 4 1 5 4 1 5 0 0 0 20.00 20.00
64 NATIXIS ASIA LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2008-08-05
65 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2011-01-18
66 Tyric Capital Limited 2 5 7 3 2 5 1 -3 -2 71.43 40.00 2003-11-13
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 3 5 2 3 5 0 0 0 60.00 60.00 2007-11-19
69 VALUE PARTNERS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
70 WHARTON INVESTMENT ADVISORS LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2015-02-09
71 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-04-19
72 AKTIS CAPITAL ADVISORY LIMITED 4 0 4 4 0 4 0 0 0 0.00 0.00 2003-11-29
73 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
74 BOCOM International Securities Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2007-09-10
75 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 3 1 4 2 2 4 -1 1 0 25.00 50.00 2006-05-23 2017-07-25
76 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-03-08 2022-03-16
77 EMPEROR FUTURES LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
78 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2024-03-21
79 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2020-06-02
80 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
81 SINOPAC FUTURES (ASIA) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2014-09-25
82 Standard Advisory Asia Limited 4 2 6 2 2 4 -2 0 -2 33.33 50.00 2007-03-09 2013-04-12
83 Yuanta Asia Investment (Hong Kong) Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2003-08-13 2013-11-01
84 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
85 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2012-06-25
86 CLSA FUTURES LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2016-06-02
87 FIL Investment Advisors 4 0 4 3 0 3 -1 0 -1 0.00 0.00
88 FIL Investment Management (Hong Kong) Limited 4 1 5 3 0 3 -1 -1 -2 20.00 0.00
89 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
90 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
91 GUOYUAN FUTURES (HONG KONG) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2008-03-05
92 HAI TONG SECURITIES (HK) BROKERAGE LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2007-12-18 2011-02-23
93 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
94 Metaverse Securities Limited (HK) 2 2 4 2 1 3 0 -1 -1 50.00 33.33
95 PEACE TOWN FUTURES LIMITED 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2012-09-27
96 PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2008-05-29 2014-04-17
97 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
98 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
99 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
100 Vicis Capital (Hong Kong) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2008-11-26 2010-06-15
101 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-07-30
102 AP Asset Management (HK) Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2004-08-26 2013-12-04
103 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-05-07
104 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
105 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
106 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
107 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2011-01-07
108 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
109 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
110 GOLDEN GREAT CHINA FUND MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02 2010-06-01
111 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
112 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
113 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2006-02-07 2010-05-10
114 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
115 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
116 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02 2012-12-14
117 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
118 MAGUSTA FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-02-26
119 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2011-10-20
120 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
121 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
122 SATTVA INVESTMENT ADVISORS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2003-10-30 2015-04-22
123 SDHG International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
124 SHACOM FUTURES LIMITED 3 2 5 2 0 2 -1 -2 -3 40.00 0.00
125 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
126 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
127 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 2 4 1 0 1 -1 -2 -3 50.00 0.00
128 CHEONG LEE SECURITIES LIMITED 0 0 0 1 0 1 1 0 1 - 0.00 2009-08-27
129 MUSHK Limited 4 0 4 1 0 1 -3 0 -3 0.00 0.00 2011-06-01
130 BEAR STEARNS ASIA LIMITED 2 11 13 0 0 0 -2 -11 -13 84.62 - 2005-11-29 2010-04-28
131 GCIS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2007-11-22 2010-02-09
132 GINGER CAPITAL MANAGEMENT LIMITED 4 0 4 0 0 0 -4 0 -4 0.00 - 2004-11-18 2009-05-29
133 HSBC GUYERZELLER FAR EAST LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2005-02-02 2009-08-31
134 OVERLOOK INVESTMENTS LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2010-01-05
Average 2.81 5.21 8.02 2.72 5.16 7.88 64.97 65.49

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