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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2009-08-31 2010-08-31 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 71 78 8 80 88 1 9 10 91.03 90.91 2003-12-02
2 PHILLIP COMMODITIES (H.K.) LIMITED 2 54 56 2 52 54 0 -2 -2 96.43 96.30
3 FT Securities Limited 2 59 61 2 49 51 0 -10 -10 96.72 96.08 2005-09-22 2012-07-13
4 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 39 42 4 40 44 1 1 2 92.86 90.91 2004-10-14
5 JPMorgan Asset Management (Asia Pacific) Limited 3 31 34 3 34 37 0 3 3 91.18 91.89
6 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 3 13 16 3 25 28 0 12 12 81.25 89.29 2011-03-23
7 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 17 22 5 17 22 0 0 0 77.27 77.27
8 HSBC Global Asset Management (Hong Kong) Limited 2 5 7 5 16 21 3 11 14 71.43 76.19
9 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 15 20 4 14 18 -1 -1 -2 75.00 77.78
10 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 9 15 4 11 15 -2 2 0 60.00 73.33
11 Morgan Stanley Asia Limited 4 10 14 4 11 15 0 1 1 71.43 73.33 2006-04-07
12 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 12 16 4 11 15 0 -1 -1 75.00 73.33
13 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 4 10 14 0 -1 -1 73.33 71.43 2016-08-31
14 GET NICE FUTURES COMPANY LIMITED 2 15 17 2 12 14 0 -3 -3 88.24 85.71
15 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 8 10 5 9 14 3 1 4 80.00 64.29
16 HAITONG INTERNATIONAL FUTURES LIMITED 5 8 13 5 9 14 0 1 1 61.54 64.29
17 Fidelity Management & Research (Hong Kong) Limited 4 8 12 4 9 13 0 1 1 66.67 69.23 2008-09-04 2013-12-19
18 HSBC FUTURES (SINGAPORE) PTE LTD 2 10 12 4 8 12 2 -2 0 83.33 66.67 2007-04-20 2012-08-08
19 AllianceBernstein Hong Kong Limited 5 9 14 5 6 11 0 -3 -3 64.29 54.55
20 HANG SENG FUTURES LIMITED 2 10 12 2 9 11 0 -1 -1 83.33 81.82 2017-11-17
21 Manulife Investment Management (Hong Kong) Limited 3 11 14 2 9 11 -1 -2 -3 78.57 81.82
22 Ark Futures (Hong Kong) Limited 4 4 8 4 6 10 0 2 2 50.00 60.00 2006-02-07
23 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 3 4 7 4 6 10 1 2 3 57.14 60.00 2018-12-31
24 OCP Asia (Hong Kong) Limited 2 7 9 3 7 10 1 0 1 77.78 70.00 2004-09-03 2022-06-13
25 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 7 9 2 8 10 0 1 1 77.78 80.00 2012-01-12
26 AD Capital Management (Hong Kong) Limited 2 7 9 2 7 9 0 0 0 77.78 77.78 2004-09-08
27 AXA Investment Managers Asia Limited 4 5 9 3 6 9 -1 1 0 55.56 66.67 2015-06-15
28 BREVAN HOWARD (HONG KONG) LIMITED 3 2 5 4 5 9 1 3 4 40.00 55.56 2008-03-12 2018-05-11
29 DEUTSCHE SECURITIES ASIA LIMITED 4 1 5 5 4 9 1 3 4 20.00 44.44 2004-01-08 2020-02-04
30 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 7 10 2 7 9 -1 0 -1 70.00 77.78
31 ICBC Asset Management (Global) Company Limited 4 2 6 3 6 9 -1 4 3 33.33 66.67
32 Allianz Global Investors Asia Pacific Limited (SFC:AOA171) 3 6 9 3 5 8 0 -1 -1 66.67 62.50 2007-01-12 2015-05-31
33 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 4 4 8 3 5 8 -1 1 0 50.00 62.50 2015-06-15
34 BALLINGAL INVESTMENT ADVISORS LIMITED 2 3 5 2 6 8 0 3 3 60.00 75.00 2004-08-13
35 CHIEF COMMODITIES LIMITED 2 3 5 3 5 8 1 2 3 60.00 62.50 2006-05-17 2025-08-31
36 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
37 MF Global Hong Kong Limited 3 6 9 3 5 8 0 -1 -1 66.67 62.50 2005-08-26
38 OLD PEAK LIMITED (HK) 4 5 9 4 4 8 0 -1 -1 55.56 50.00 2005-08-26 2023-06-20
39 RAB CAPITAL (ASIA) LIMITED 3 4 7 3 5 8 0 1 1 57.14 62.50 2007-09-28 2010-11-22
40 BOCI SECURITIES LIMITED 5 1 6 5 2 7 0 1 1 16.67 28.57 2005-10-06
41 GOLDMAN SACHS (ASIA) L.L.C. 4 7 11 3 4 7 -1 -3 -4 63.64 57.14
42 GOLDMAN SACHS FUTURES (ASIA) LIMITED 5 5 10 3 4 7 -2 -1 -3 50.00 57.14 2016-10-10
43 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 5 2 7 4 3 7 -1 1 0 28.57 42.86 2008-07-03
44 KGI FUTURES (HONG KONG) LIMITED 4 1 5 4 3 7 0 2 2 20.00 42.86
45 AlTi Wealth Management (Hong Kong) Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2004-05-11
46 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
47 CAPE ASSET MANAGEMENT LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2006-05-23 2024-03-13
48 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2018-09-21
49 ENHANCED INVESTMENT PRODUCTS LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67
50 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
51 Oasis Management (Hong Kong) 3 11 14 3 3 6 0 -8 -8 78.57 50.00 2004-09-14
52 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 4 2 6 0 -1 -1 42.86 33.33 2013-11-25
53 WFM Asia (HK) Limited 3 3 6 3 3 6 0 0 0 50.00 50.00 2013-11-05
54 WINNINGTON CAPITAL LIMITED 2 4 6 3 3 6 1 -1 0 66.67 50.00
55 CES Capital International (Hong Kong) Co., Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2009-05-29 2023-02-23
56 GENERALI INVESTMENTS ASIA LIMITED 3 8 11 2 3 5 -1 -5 -6 72.73 60.00 2007-12-28 2018-09-26
57 HAMON ASSET MANAGEMENT LIMITED 3 5 8 2 3 5 -1 -2 -3 62.50 60.00
58 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
59 NATIXIS ASIA LIMITED 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2008-08-05
60 PFP Capital Limited 3 5 8 2 3 5 -1 -2 -3 62.50 60.00
61 RC Futures Advisory Limited 0 0 0 2 3 5 2 3 5 - 60.00 2010-05-19
62 Standard Advisory Asia Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2007-03-09 2013-04-12
63 Tyric Capital Limited 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2003-11-13
64 UPBEST COMMODITIES COMPANY LIMITED 4 1 5 3 2 5 -1 1 0 20.00 40.00
65 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2015-02-09
66 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-04-19
67 AKTIS CAPITAL ADVISORY LIMITED 4 0 4 4 0 4 0 0 0 0.00 0.00 2003-11-29
68 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
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 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
73 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
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 MIZUHO SECURITIES ASIA LIMITED 0 0 0 3 1 4 3 1 4 - 25.00 2010-03-01 2016-05-05
77 SINOPAC FUTURES (ASIA) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2014-09-25
78 VALUE PARTNERS HONG KONG LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2007-11-19
79 VALUE PARTNERS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00
80 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
81 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2012-06-25
82 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2014-05-07
83 BOCOM International Securities Limited 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2007-09-10
84 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2006-05-23 2017-07-25
85 FIRST SHANGHAI FUTURES LIMITED 2 1 3 1 2 3 -1 1 0 33.33 66.67
86 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
87 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2024-03-21
88 GAM HONG KONG LIMITED 3 3 6 2 1 3 -1 -2 -3 50.00 33.33 2013-06-19
89 Metaverse Securities Limited (HK) 2 2 4 2 1 3 0 -1 -1 50.00 33.33
90 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
91 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
92 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
93 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2011-01-18
94 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
95 ZHONGRONG PT SECURITIES LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2010-07-30
96 AP Asset Management (HK) Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2004-08-26 2013-12-04
97 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
98 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
99 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
100 CLSA FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2016-06-02
101 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
102 EMPEROR FUTURES LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00
103 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
104 GUOYUAN FUTURES (HONG KONG) LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2008-03-05
105 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
106 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
107 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
108 iVenture Investment Management Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00
109 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
110 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
111 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02 2012-12-14
112 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
113 MAGUSTA FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-02-26
114 MFG Limited (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2010-05-24
115 MUSHK Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2011-06-01
116 PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2008-05-29 2014-04-17
117 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
118 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
119 SATTVA INVESTMENT ADVISORS LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2003-10-30 2015-04-22
120 SDHG International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
121 SHACOM FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
122 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
123 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
124 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2024-07-30
125 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00
126 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 3 5 1 0 1 -1 -3 -4 60.00 0.00 2010-11-03
127 CHEONG LEE SECURITIES LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2009-08-27
128 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2011-01-07
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 10 12 0 0 0 -2 -10 -12 83.33 - 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 PEACE TOWN FUTURES LIMITED 4 0 4 0 0 0 -4 0 -4 0.00 - 2012-09-27
136 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 5.02 7.80 2.70 5.04 7.74 64.33 65.13

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