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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2009-06-30 2010-06-30 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 7 73 80 7 83 90 0 10 10 91.25 92.22 2003-12-02
2 PHILLIP COMMODITIES (H.K.) LIMITED 2 51 53 2 52 54 0 1 1 96.23 96.30
3 FT Securities Limited 2 59 61 2 51 53 0 -8 -8 96.72 96.23 2005-09-22 2012-07-13
4 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 37 40 4 41 45 1 4 5 92.50 91.11 2004-10-14
5 JPMorgan Asset Management (Asia Pacific) Limited 3 30 33 3 35 38 0 5 5 90.91 92.11
6 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 3 14 17 3 23 26 0 9 9 82.35 88.46 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 Morgan Stanley Asia Limited 4 11 15 5 12 17 1 1 2 73.33 70.59 2006-04-07
10 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 9 15 5 11 16 -1 2 1 60.00 68.75
11 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 10 14 4 12 16 0 2 2 71.43 75.00
12 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 4 11 15 0 0 0 73.33 73.33 2016-08-31
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 7 9 5 9 14 3 2 5 77.78 64.29
15 HAITONG INTERNATIONAL FUTURES LIMITED 5 7 12 6 8 14 1 1 2 58.33 57.14
16 Fidelity Management & Research (Hong Kong) Limited 4 6 10 4 9 13 0 3 3 60.00 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 HSBC Global Asset Management (Hong Kong) Limited 2 5 7 3 8 11 1 3 4 71.43 72.73
20 Manulife Investment Management (Hong Kong) Limited 3 11 14 2 9 11 -1 -2 -3 78.57 81.82
21 OCP Asia (Hong Kong) Limited 2 7 9 3 8 11 1 1 2 77.78 72.73 2004-09-03 2022-06-13
22 AllianceBernstein Hong Kong Limited 5 10 15 5 5 10 0 -5 -5 66.67 50.00
23 Ark Futures (Hong Kong) Limited 3 4 7 4 6 10 1 2 3 57.14 60.00 2006-02-07
24 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 3 4 7 4 6 10 1 2 3 57.14 60.00 2018-12-31
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 BREVAN HOWARD (HONG KONG) LIMITED 3 2 5 4 5 9 1 3 4 40.00 55.56 2008-03-12 2018-05-11
27 DEUTSCHE SECURITIES ASIA LIMITED 2 2 4 5 4 9 3 2 5 50.00 44.44 2004-01-08 2020-02-04
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 7 10 3 6 9 0 -1 -1 70.00 66.67 2005-08-26
31 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2012-01-12
32 AD Capital Management (Hong Kong) Limited 2 7 9 2 6 8 0 -1 -1 77.78 75.00 2004-09-08
33 AXA Investment Managers Asia Limited 4 5 9 4 4 8 0 -1 -1 55.56 50.00 2015-06-15
34 BALLINGAL INVESTMENT ADVISORS LIMITED 2 2 4 2 6 8 0 4 4 50.00 75.00 2004-08-13
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 5 9 4 4 8 0 -1 -1 55.56 50.00 2005-08-26 2023-06-20
37 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 4 4 8 4 3 7 0 -1 -1 50.00 42.86 2015-06-15
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 GOLDMAN SACHS FUTURES (ASIA) LIMITED 5 6 11 3 4 7 -2 -2 -4 54.55 57.14 2016-10-10
41 HAMON ASSET MANAGEMENT LIMITED 3 5 8 3 4 7 0 -1 -1 62.50 57.14
42 ICBC Asset Management (Global) Company Limited 4 2 6 3 4 7 -1 2 1 33.33 57.14
43 KGI FUTURES (HONG KONG) LIMITED 4 1 5 4 3 7 0 2 2 20.00 42.86
44 PFP Capital Limited 3 5 8 3 4 7 0 -1 -1 62.50 57.14
45 RAB CAPITAL (ASIA) LIMITED 3 4 7 2 5 7 -1 1 0 57.14 71.43 2007-09-28 2010-11-22
46 AlTi Wealth Management (Hong Kong) Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2004-05-11
47 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
48 CHIEF COMMODITIES LIMITED 2 3 5 3 3 6 1 0 1 60.00 50.00 2006-05-17 2025-08-31
49 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2018-09-21
50 GENERALI INVESTMENTS ASIA LIMITED 3 8 11 2 4 6 -1 -4 -5 72.73 66.67 2007-12-28 2018-09-26
51 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 5 1 6 4 2 6 -1 1 0 16.67 33.33 2008-07-03
52 Halbis Capital Management (Hong Kong) Limited 4 2 6 3 3 6 -1 1 0 33.33 50.00 2005-06-23 2012-05-11
53 Oasis Management (Hong Kong) 3 12 15 3 3 6 0 -9 -9 80.00 50.00 2004-09-14
54 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 4 2 6 0 -1 -1 42.86 33.33 2013-11-25
55 WINNINGTON CAPITAL LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67
56 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-03
57 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
58 ENHANCED INVESTMENT PRODUCTS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
59 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
60 NATIXIS ASIA LIMITED 3 3 6 2 3 5 -1 0 -1 50.00 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 3 2 5 2 2 4 -1 0 -1 40.00 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 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2024-03-21
73 GAM HONG KONG LIMITED 3 3 6 2 2 4 -1 -1 -2 50.00 50.00 2013-06-19
74 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2020-06-02
75 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
76 RC Futures Advisory Limited 0 0 0 2 2 4 2 2 4 - 50.00 2010-05-19
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 BOCOM International Securities Limited 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2007-09-10
84 FIL Investment Advisors 3 0 3 3 0 3 0 0 0 0.00 0.00
85 FIL Investment Management (Hong Kong) Limited 3 1 4 3 0 3 0 -1 -1 25.00 0.00
86 FIRST SHANGHAI FUTURES LIMITED 2 1 3 1 2 3 -1 1 0 33.33 66.67
87 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
88 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
89 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
90 Metaverse Securities Limited (HK) 2 2 4 2 1 3 0 -1 -1 50.00 33.33
91 MIZUHO SECURITIES ASIA LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2010-03-01 2016-05-05
92 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
93 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
94 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
95 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
96 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2011-01-18
97 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
98 AP Asset Management (HK) Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2004-08-26 2013-12-04
99 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-05-07
100 BEA Union Investment Management Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2022-07-12
101 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
102 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
103 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2011-01-07
104 CLSA FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2016-06-02
105 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
106 EMPEROR FUTURES LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00
107 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
108 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
109 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
110 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
111 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
112 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02 2012-12-14
113 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
114 MAGUSTA FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-02-26
115 MFG Limited (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2010-05-24
116 MUSHK Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2011-06-01
117 PEACE TOWN FUTURES LIMITED 4 0 4 2 0 2 -2 0 -2 0.00 0.00 2012-09-27
118 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
119 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
120 SATTVA INVESTMENT ADVISORS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2003-10-30 2015-04-22
121 SDHG International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
122 SHACOM FUTURES LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00
123 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
124 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
125 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2024-07-30
126 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 2 4 1 0 1 -1 -2 -3 50.00 0.00
127 CHEONG LEE SECURITIES LIMITED 0 0 0 1 0 1 1 0 1 - 0.00 2009-08-27
128 GUOYUAN FUTURES (HONG KONG) LIMITED 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2008-03-05
129 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 1 0 1 -2 0 -2 0.00 0.00 2011-10-20
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 GOLDEN GREAT CHINA FUND MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-12-02 2010-06-01
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 2.79 5.04 7.82 2.72 5.02 7.74 64.39 64.86

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