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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2009-04-30 2010-04-30 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 7 79 86 7 80 87 0 1 1 91.86 91.95 2003-12-02
2 PHILLIP COMMODITIES (H.K.) LIMITED 2 49 51 2 66 68 0 17 17 96.08 97.06
3 FT Securities Limited 2 67 69 2 54 56 0 -13 -13 97.10 96.43 2005-09-22 2012-07-13
4 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 36 39 4 41 45 1 5 6 92.31 91.11 2004-10-14
5 JPMorgan Asset Management (Asia Pacific) Limited 3 30 33 3 32 35 0 2 2 90.91 91.43
6 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 3 15 18 3 22 25 0 7 7 83.33 88.00 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 15 20 4 14 18 -1 -1 -2 75.00 77.78
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 9 15 5 12 17 -1 3 2 60.00 70.59
10 Morgan Stanley Asia Limited 4 15 19 5 11 16 1 -4 -3 78.95 68.75 2006-04-07
11 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 11 15 4 11 15 0 0 0 73.33 73.33
12 CHARLES SCHWAB, HONG KONG, LIMITED 4 10 14 4 10 14 0 0 0 71.43 71.43 2016-08-31
13 GET NICE FUTURES COMPANY LIMITED 2 16 18 2 12 14 0 -4 -4 88.89 85.71
14 Fidelity Management & Research (Hong Kong) Limited 4 4 8 3 10 13 -1 6 5 50.00 76.92 2008-09-04 2013-12-19
15 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 8 10 2 10 12 0 2 2 80.00 83.33
16 HAITONG INTERNATIONAL FUTURES LIMITED 5 6 11 4 8 12 -1 2 1 54.55 66.67
17 HANG SENG FUTURES LIMITED 2 10 12 2 10 12 0 0 0 83.33 83.33 2017-11-17
18 HSBC FUTURES (SINGAPORE) PTE LTD 3 8 11 4 8 12 1 0 1 72.73 66.67 2007-04-20 2012-08-08
19 Manulife Investment Management (Hong Kong) Limited 3 7 10 3 8 11 0 1 1 70.00 72.73
20 OCP Asia (Hong Kong) Limited 2 7 9 3 8 11 1 1 2 77.78 72.73 2004-09-03 2022-06-13
21 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 7 9 2 9 11 0 2 2 77.78 81.82 2012-01-12
22 AllianceBernstein Hong Kong Limited 5 10 15 5 5 10 0 -5 -5 66.67 50.00
23 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 3 5 8 4 6 10 1 1 2 62.50 60.00 2018-12-31
24 AD Capital Management (Hong Kong) Limited 2 7 9 2 7 9 0 0 0 77.78 77.78 2004-09-08
25 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
26 Ark Futures (Hong Kong) Limited 2 4 6 4 5 9 2 1 3 66.67 55.56 2006-02-07
27 BREVAN HOWARD (HONG KONG) LIMITED 3 2 5 3 6 9 0 4 4 40.00 66.67 2008-03-12 2018-05-11
28 MF Global Hong Kong Limited 3 8 11 3 6 9 0 -2 -2 72.73 66.67 2005-08-26
29 AXA Investment Managers Asia Limited 4 5 9 4 4 8 0 -1 -1 55.56 50.00 2015-06-15
30 GOLDMAN SACHS (ASIA) L.L.C. 4 8 12 3 5 8 -1 -3 -4 66.67 62.50
31 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 5 1 6 5 3 8 0 2 2 16.67 37.50 2008-07-03
32 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 7 10 2 6 8 -1 -1 -2 70.00 75.00
33 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
34 OLD PEAK LIMITED (HK) 4 6 10 4 4 8 0 -2 -2 60.00 50.00 2005-08-26 2023-06-20
35 RAB CAPITAL (ASIA) LIMITED 3 5 8 2 6 8 -1 1 0 62.50 75.00 2007-09-28 2010-11-22
36 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 4 4 8 4 3 7 0 -1 -1 50.00 42.86 2015-06-15
37 BALLINGAL INVESTMENT ADVISORS LIMITED 2 1 3 2 5 7 0 4 4 33.33 71.43 2004-08-13
38 BOCI SECURITIES LIMITED 4 2 6 5 2 7 1 0 1 33.33 28.57 2005-10-06
39 CAPE ASSET MANAGEMENT LIMITED 4 4 8 3 4 7 -1 0 -1 50.00 57.14 2006-05-23 2024-03-13
40 DEUTSCHE SECURITIES ASIA LIMITED 3 2 5 4 3 7 1 1 2 40.00 42.86 2004-01-08 2020-02-04
41 GENERALI INVESTMENTS ASIA LIMITED 3 8 11 3 4 7 0 -4 -4 72.73 57.14 2007-12-28 2018-09-26
42 GOLDMAN SACHS FUTURES (ASIA) LIMITED 3 7 10 3 4 7 0 -3 -3 70.00 57.14 2016-10-10
43 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
44 HAMON ASSET MANAGEMENT LIMITED 3 5 8 3 4 7 0 -1 -1 62.50 57.14
45 HSBC Global Asset Management (Hong Kong) Limited 2 5 7 2 5 7 0 0 0 71.43 71.43
46 ICBC Asset Management (Global) Company Limited 4 2 6 3 4 7 -1 2 1 33.33 57.14
47 Oasis Management (Hong Kong) 3 12 15 3 4 7 0 -8 -8 80.00 57.14 2004-09-14
48 PFP Capital Limited 3 5 8 3 4 7 0 -1 -1 62.50 57.14
49 WINNINGTON CAPITAL LIMITED 2 4 6 2 5 7 0 1 1 66.67 71.43
50 AlTi Wealth Management (Hong Kong) Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2004-05-11
51 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
52 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 4 2 6 0 -1 -1 42.86 33.33 2013-11-25
53 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-03
54 CES Capital International (Hong Kong) Co., Limited 0 0 0 3 2 5 3 2 5 - 40.00 2009-05-29 2023-02-23
55 CHIEF COMMODITIES LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2006-05-17 2025-08-31
56 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
57 ENHANCED INVESTMENT PRODUCTS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
58 GAM HONG KONG LIMITED 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2013-06-19
59 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
60 KGI FUTURES (HONG KONG) LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00
61 NATIXIS ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2008-08-05
62 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2011-01-18
63 Standard Advisory Asia Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2007-03-09 2013-04-12
64 Tyric Capital Limited 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2003-11-13
65 WFM Asia (HK) Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2013-11-05
66 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2015-02-09
67 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-04-19
68 AKTIS CAPITAL ADVISORY LIMITED 4 0 4 4 0 4 0 0 0 0.00 0.00 2003-11-29
69 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
70 BOCOM International Securities Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2007-09-10
71 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2006-05-23 2017-07-25
72 Credit Suisse (Hong Kong) Limited 3 0 3 4 0 4 1 0 1 0.00 0.00 2008-11-04 2024-09-27
73 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
74 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-03-08 2022-03-16
75 EMPEROR FUTURES LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
76 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2024-03-21
77 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2020-06-02
78 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
79 SINOPAC FUTURES (ASIA) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2014-09-25
80 UPBEST COMMODITIES COMPANY LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00
81 VALUE PARTNERS HONG KONG LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2007-11-19
82 VALUE PARTNERS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00
83 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
84 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2012-06-25
85 AP Asset Management (HK) Limited 2 2 4 3 0 3 1 -2 -1 50.00 0.00 2004-08-26 2013-12-04
86 CLSA FUTURES LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2016-06-02
87 FIL Investment Advisors 3 0 3 3 0 3 0 0 0 0.00 0.00
88 FIL Investment Management (Hong Kong) Limited 3 1 4 3 0 3 0 -1 -1 25.00 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 MIZUHO SECURITIES ASIA LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2010-03-01 2016-05-05
96 PEACE TOWN FUTURES LIMITED 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2012-09-27
97 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
98 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
99 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
100 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
101 Yuanta Asia Investment (Hong Kong) Limited 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2003-08-13 2013-11-01
102 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-05-07
103 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
104 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
105 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
106 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
107 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
108 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
109 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
110 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
111 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
112 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
113 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
114 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02 2012-12-14
115 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
116 MAGUSTA FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-02-26
117 MUSHK Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2011-06-01
118 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2011-10-20
119 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
120 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
121 SATTVA INVESTMENT ADVISORS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2003-10-30 2015-04-22
122 SDHG International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
123 SHACOM FUTURES LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00
124 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
125 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
126 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 3 5 1 0 1 -1 -3 -4 60.00 0.00
127 CHEONG LEE SECURITIES LIMITED 0 0 0 1 0 1 1 0 1 - 0.00 2009-08-27
128 YUE XIU FUTURES COMPANY LIMITED 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2024-07-30
129 BEAR STEARNS ASIA LIMITED 2 11 13 0 0 0 -2 -11 -13 84.62 - 2005-11-29 2010-04-28
130 GCIS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2007-11-22 2010-02-09
131 GINGER CAPITAL MANAGEMENT LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2004-11-18 2009-05-29
132 HSBC GUYERZELLER FAR EAST LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2005-02-02 2009-08-31
133 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2006-02-07 2010-05-10
134 OVERLOOK INVESTMENTS LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2010-01-05
135 Vicis Capital (Hong Kong) Limited 2 1 3 0 0 0 -2 -1 -3 33.33 - 2008-11-26 2010-06-15
Average 2.76 5.11 7.86 2.73 5.13 7.86 64.93 65.31

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