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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2009-09-30 2010-09-30 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 71 78 7 71 78 0 0 0 91.03 91.03 2003-12-02
2 PHILLIP COMMODITIES (H.K.) LIMITED 2 56 58 2 51 53 0 -5 -5 96.55 96.23
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 2 13 15 3 26 29 1 13 14 86.67 89.66 2011-03-23
7 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 17 22 5 16 21 0 -1 -1 77.27 76.19
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 15 19 -1 0 -1 75.00 78.95
10 Fidelity Management & Research (Hong Kong) Limited 4 9 13 3 13 16 -1 4 3 69.23 81.25 2008-09-04 2013-12-19
11 Morgan Stanley Asia Limited 4 10 14 4 12 16 0 2 2 71.43 75.00 2006-04-07
12 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 12 16 4 12 16 0 0 0 75.00 75.00
13 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 9 15 4 11 15 -2 2 0 60.00 73.33
14 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 9 11 5 10 15 3 1 4 81.82 66.67
15 HAITONG INTERNATIONAL FUTURES LIMITED 5 8 13 5 10 15 0 2 2 61.54 66.67
16 GET NICE FUTURES COMPANY LIMITED 2 15 17 2 12 14 0 -3 -3 88.24 85.71
17 CHARLES SCHWAB, HONG KONG, LIMITED 4 10 14 4 9 13 0 -1 -1 71.43 69.23 2016-08-31
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 HANG SENG FUTURES LIMITED 2 10 12 2 9 11 0 -1 -1 83.33 81.82 2017-11-17
20 AllianceBernstein Hong Kong Limited 5 8 13 5 5 10 0 -3 -3 61.54 50.00
21 Ark Futures (Hong Kong) Limited 4 4 8 4 6 10 0 2 2 50.00 60.00 2006-02-07
22 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 3 4 7 4 6 10 1 2 3 57.14 60.00 2018-12-31
23 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 7 10 2 8 10 -1 1 0 70.00 80.00
24 Manulife Investment Management (Hong Kong) Limited 3 11 14 2 8 10 -1 -3 -4 78.57 80.00
25 OCP Asia (Hong Kong) Limited 2 7 9 3 7 10 1 0 1 77.78 70.00 2004-09-03 2022-06-13
26 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 7 9 2 8 10 0 1 1 77.78 80.00 2012-01-12
27 AXA Investment Managers Asia Limited 4 5 9 3 6 9 -1 1 0 55.56 66.67 2015-06-15
28 DEUTSCHE SECURITIES ASIA LIMITED 4 2 6 5 4 9 1 2 3 33.33 44.44 2004-01-08 2020-02-04
29 AD Capital Management (Hong Kong) Limited 2 6 8 2 6 8 0 0 0 75.00 75.00 2004-09-08
30 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
31 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 4 4 8 3 5 8 -1 1 0 50.00 62.50 2015-06-15
32 BALLINGAL INVESTMENT ADVISORS LIMITED 2 4 6 2 6 8 0 2 2 66.67 75.00 2004-08-13
33 CHIEF COMMODITIES LIMITED 2 3 5 3 5 8 1 2 3 60.00 62.50 2006-05-17 2025-08-31
34 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 5 2 7 4 4 8 -1 2 1 28.57 50.00 2008-07-03
35 ICBC Asset Management (Global) Company Limited 4 2 6 3 5 8 -1 3 2 33.33 62.50
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 BREVAN HOWARD (HONG KONG) LIMITED 3 2 5 4 3 7 1 1 2 40.00 42.86 2008-03-12 2018-05-11
42 GOLDMAN SACHS (ASIA) L.L.C. 4 7 11 3 4 7 -1 -3 -4 63.64 57.14
43 GOLDMAN SACHS FUTURES (ASIA) LIMITED 5 5 10 3 4 7 -2 -1 -3 50.00 57.14 2016-10-10
44 KGI FUTURES (HONG KONG) LIMITED 4 1 5 4 3 7 0 2 2 20.00 42.86
45 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
46 CAPE ASSET MANAGEMENT LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2006-05-23 2024-03-13
47 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2018-09-21
48 ENHANCED INVESTMENT PRODUCTS LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67
49 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
50 HAMON ASSET MANAGEMENT LIMITED 3 5 8 2 4 6 -1 -1 -2 62.50 66.67
51 Oasis Management (Hong Kong) 3 11 14 3 3 6 0 -8 -8 78.57 50.00 2004-09-14
52 PFP Capital Limited 3 5 8 2 4 6 -1 -1 -2 62.50 66.67
53 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 4 2 6 0 -1 -1 42.86 33.33 2013-11-25
54 WFM Asia (HK) Limited 3 3 6 3 3 6 0 0 0 50.00 50.00 2013-11-05
55 AlTi Wealth Management (Hong Kong) Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2004-05-11
56 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
57 GENERALI INVESTMENTS ASIA LIMITED 3 8 11 2 3 5 -1 -5 -6 72.73 60.00 2007-12-28 2018-09-26
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 Standard Advisory Asia Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2007-03-09 2013-04-12
61 Tyric Capital Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2003-11-13
62 UPBEST COMMODITIES COMPANY LIMITED 4 1 5 3 2 5 -1 1 0 20.00 40.00
63 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2015-02-09
64 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2016-04-19
65 WINNINGTON CAPITAL LIMITED 2 4 6 3 2 5 1 -2 -1 66.67 40.00
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 Credit Suisse (Hong Kong) Limited 3 0 3 4 0 4 1 0 1 0.00 0.00 2008-11-04 2024-09-27
69 DELTA ASIA FINANCIAL FUTURES LIMITED 3 2 5 2 2 4 -1 0 -1 40.00 50.00
70 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-03-08 2022-03-16
71 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
72 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
73 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2020-06-02
74 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
75 MIZUHO SECURITIES ASIA LIMITED 0 0 0 3 1 4 3 1 4 - 25.00 2010-03-01 2016-05-05
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 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 2 1 3 0 0 0 33.33 33.33
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 1 3 2 1 3 0 0 0 33.33 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 CHEONG LEE SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2009-08-27
100 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
101 CLSA FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2016-06-02
102 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
103 EMPEROR FUTURES LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00
104 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
105 GUOYUAN FUTURES (HONG KONG) LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2008-03-05
106 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
107 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
108 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
109 iVenture Investment Management Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00
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 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
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 0 2 2 0 2 0 0 0 0.00 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 1 3 1 0 1 -1 -1 -2 33.33 0.00
127 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2011-01-07
128 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 1 0 1 -2 0 -2 0.00 0.00 2011-10-20
129 BEAR STEARNS ASIA LIMITED 2 10 12 0 0 0 -2 -10 -12 83.33 - 2005-11-29 2010-04-28
130 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2010-11-03
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 5.01 7.79 2.71 5.02 7.73 64.30 64.91

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