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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2009-05-31 2010-05-31 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 7 75 82 7 80 87 0 5 5 91.46 91.95 2003-12-02
2 PHILLIP COMMODITIES (H.K.) LIMITED 2 49 51 2 63 65 0 14 14 96.08 96.92
3 FT Securities Limited 2 60 62 2 53 55 0 -7 -7 96.77 96.36 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 33 36 0 3 3 90.91 91.67
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 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 9 15 5 12 17 -1 3 2 60.00 70.59
9 Morgan Stanley Asia Limited 4 15 19 5 12 17 1 -3 -2 78.95 70.59 2006-04-07
10 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 16 21 4 13 17 -1 -3 -4 76.19 76.47
11 CHARLES SCHWAB, HONG KONG, LIMITED 4 10 14 4 11 15 0 1 1 71.43 73.33 2016-08-31
12 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 10 14 4 11 15 0 1 1 71.43 73.33
13 GET NICE FUTURES COMPANY LIMITED 2 16 18 2 12 14 0 -4 -4 88.89 85.71
14 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 6 8 4 10 14 2 4 6 75.00 71.43
15 HAITONG INTERNATIONAL FUTURES LIMITED 5 8 13 6 8 14 1 0 1 61.54 57.14
16 Fidelity Management & Research (Hong Kong) Limited 4 5 9 4 9 13 0 4 4 55.56 69.23 2008-09-04 2013-12-19
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 OCP Asia (Hong Kong) Limited 2 7 9 3 8 11 1 1 2 77.78 72.73 2004-09-03 2022-06-13
20 AllianceBernstein Hong Kong Limited 5 10 15 5 5 10 0 -5 -5 66.67 50.00
21 Ark Futures (Hong Kong) Limited 2 4 6 4 6 10 2 2 4 66.67 60.00 2006-02-07
22 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 3 5 8 4 6 10 1 1 2 62.50 60.00 2018-12-31
23 Manulife Investment Management (Hong Kong) Limited 3 7 10 2 8 10 -1 1 0 70.00 80.00
24 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 7 9 2 8 10 0 1 1 77.78 80.00 2012-01-12
25 AD Capital Management (Hong Kong) Limited 2 7 9 2 7 9 0 0 0 77.78 77.78 2004-09-08
26 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
27 BREVAN HOWARD (HONG KONG) LIMITED 3 2 5 4 5 9 1 3 4 40.00 55.56 2008-03-12 2018-05-11
28 GOLDMAN SACHS (ASIA) L.L.C. 4 8 12 3 6 9 -1 -2 -3 66.67 66.67
29 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 7 10 2 7 9 -1 0 -1 70.00 77.78
30 MF Global Hong Kong Limited 3 8 11 3 6 9 0 -2 -2 72.73 66.67 2005-08-26
31 AXA Investment Managers Asia Limited 4 5 9 4 4 8 0 -1 -1 55.56 50.00 2015-06-15
32 DEUTSCHE SECURITIES ASIA LIMITED 3 3 6 4 4 8 1 1 2 50.00 50.00 2004-01-08 2020-02-04
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 5 9 4 4 8 0 -1 -1 55.56 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 2 4 2 5 7 0 3 3 50.00 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 GENERALI INVESTMENTS ASIA LIMITED 3 7 10 3 4 7 0 -3 -3 70.00 57.14 2007-12-28 2018-09-26
41 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 7 11 3 4 7 -1 -3 -4 63.64 57.14 2016-10-10
42 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 5 1 6 4 3 7 -1 2 1 16.67 42.86 2008-07-03
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 AlTi Wealth Management (Hong Kong) Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2004-05-11
50 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
51 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2018-09-21
52 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 4 2 6 0 -1 -1 42.86 33.33 2013-11-25
53 WINNINGTON CAPITAL LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67
54 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-03
55 CES Capital International (Hong Kong) Co., Limited 3 1 4 3 2 5 0 1 1 25.00 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 ENHANCED INVESTMENT PRODUCTS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
58 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
59 KGI FUTURES (HONG KONG) LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00
60 NATIXIS ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2008-08-05
61 Standard Advisory Asia Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2007-03-09 2013-04-12
62 Tyric Capital Limited 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2003-11-13
63 WFM Asia (HK) Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2013-11-05
64 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2015-02-09
65 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-04-19
66 AKTIS CAPITAL ADVISORY LIMITED 4 0 4 4 0 4 0 0 0 0.00 0.00 2003-11-29
67 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
68 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2006-05-23 2017-07-25
69 Credit Suisse (Hong Kong) Limited 3 0 3 4 0 4 1 0 1 0.00 0.00 2008-11-04 2024-09-27
70 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
71 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-03-08 2022-03-16
72 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
73 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2024-03-21
74 GAM HONG KONG LIMITED 3 3 6 2 2 4 -1 -1 -2 50.00 50.00 2013-06-19
75 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2020-06-02
76 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
77 SINOPAC FUTURES (ASIA) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2014-09-25
78 UPBEST COMMODITIES COMPANY LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00
79 VALUE PARTNERS HONG KONG LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2007-11-19
80 VALUE PARTNERS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00
81 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
82 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2012-06-25
83 AP Asset Management (HK) Limited 2 2 4 3 0 3 1 -2 -1 50.00 0.00 2004-08-26 2013-12-04
84 BOCOM International Securities Limited 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2007-09-10
85 EMPEROR FUTURES LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00
86 FIL Investment Advisors 3 0 3 3 0 3 0 0 0 0.00 0.00
87 FIL Investment Management (Hong Kong) Limited 3 1 4 3 0 3 0 -1 -1 25.00 0.00
88 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
89 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
90 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
91 Metaverse Securities Limited (HK) 2 2 4 2 1 3 0 -1 -1 50.00 33.33
92 MIZUHO SECURITIES ASIA LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2010-03-01 2016-05-05
93 MUSHK Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2011-06-01
94 PEACE TOWN FUTURES LIMITED 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2012-09-27
95 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
96 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
97 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
98 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
99 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2011-01-18
100 Yuanta Asia Investment (Hong Kong) Limited 2 4 6 2 1 3 0 -3 -3 66.67 33.33 2003-08-13 2013-11-01
101 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-05-07
102 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
103 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
104 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
105 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-01-07
106 CLSA FUTURES LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2016-06-02
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 GUOYUAN FUTURES (HONG KONG) LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2008-03-05
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 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
114 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
115 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02 2012-12-14
116 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
117 MAGUSTA FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-02-26
118 MFG Limited (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2010-05-24
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 RC Futures Advisory Limited 0 0 0 2 0 2 2 0 2 - 0.00 2010-05-19
122 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
123 SATTVA INVESTMENT ADVISORS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2003-10-30 2015-04-22
124 SDHG International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
125 SHACOM FUTURES LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00
126 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
127 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00
128 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 2 4 1 0 1 -1 -2 -3 50.00 0.00
129 CHEONG LEE SECURITIES LIMITED 0 0 0 1 0 1 1 0 1 - 0.00 2009-08-27
130 YUE XIU FUTURES COMPANY LIMITED 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2024-07-30
131 BEAR STEARNS ASIA LIMITED 2 11 13 0 0 0 -2 -11 -13 84.62 - 2005-11-29 2010-04-28
132 GCIS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2007-11-22 2010-02-09
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 2.78 5.07 7.85 2.75 5.01 7.75 64.59 64.58

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