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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2009-10-31 2010-10-31 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 73 80 7 70 77 0 -3 -3 91.25 90.91 2003-12-02
2 PHILLIP COMMODITIES (H.K.) LIMITED 2 58 60 2 52 54 0 -6 -6 96.67 96.30
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 41 44 4 41 45 1 0 1 93.18 91.11 2004-10-14
4 JPMorgan Asset Management (Asia Pacific) Limited 3 30 33 3 34 37 0 4 4 90.91 91.89
5 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 3 15 18 3 28 31 0 13 13 83.33 90.32 2011-03-23
6 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 17 22 5 16 21 0 -1 -1 77.27 76.19
7 HSBC Global Asset Management (Hong Kong) Limited 2 5 7 6 15 21 4 10 14 71.43 71.43
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 14 19 4 15 19 -1 1 0 73.68 78.95
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 6 9 15 4 12 16 -2 3 1 60.00 75.00
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 11 15 4 12 16 0 1 1 73.33 75.00
13 HAITONG INTERNATIONAL FUTURES LIMITED 4 8 12 5 10 15 1 2 3 66.67 66.67
14 GET NICE FUTURES COMPANY LIMITED 2 14 16 2 12 14 0 -2 -2 87.50 85.71
15 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 9 11 4 10 14 2 1 3 81.82 71.43
16 CHARLES SCHWAB, HONG KONG, LIMITED 4 9 13 4 9 13 0 0 0 69.23 69.23 2016-08-31
17 FT Securities Limited 2 59 61 2 10 12 0 -49 -49 96.72 83.33 2005-09-22 2012-07-13
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 AllianceBernstein Hong Kong Limited 5 7 12 6 5 11 1 -2 -1 58.33 45.45
20 HANG SENG FUTURES LIMITED 2 10 12 2 9 11 0 -1 -1 83.33 81.82 2017-11-17
21 Ark Futures (Hong Kong) Limited 4 4 8 4 6 10 0 2 2 50.00 60.00 2006-02-07
22 Manulife Investment Management (Hong Kong) Limited 3 11 14 2 8 10 -1 -3 -4 78.57 80.00
23 OCP Asia (Hong Kong) Limited 2 8 10 3 7 10 1 -1 0 80.00 70.00 2004-09-03 2022-06-13
24 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 8 10 2 8 10 0 0 0 80.00 80.00 2012-01-12
25 AXA Investment Managers Asia Limited 4 5 9 3 6 9 -1 1 0 55.56 66.67 2015-06-15
26 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 3 4 7 4 5 9 1 1 2 57.14 55.56 2018-12-31
27 DEUTSCHE SECURITIES ASIA LIMITED 5 3 8 6 3 9 1 0 1 37.50 33.33 2004-01-08 2020-02-04
28 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 7 10 2 7 9 -1 0 -1 70.00 77.78
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 ICBC Asset Management (Global) Company Limited 4 2 6 3 5 8 -1 3 2 33.33 62.50
35 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
36 MF Global Hong Kong Limited 3 6 9 3 5 8 0 -1 -1 66.67 62.50 2005-08-26
37 OLD PEAK LIMITED (HK) 4 5 9 4 4 8 0 -1 -1 55.56 50.00 2005-08-26 2023-06-20
38 BOCI SECURITIES LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57 2005-10-06
39 BREVAN HOWARD (HONG KONG) LIMITED 3 2 5 4 3 7 1 1 2 40.00 42.86 2008-03-12 2018-05-11
40 GOLDMAN SACHS FUTURES (ASIA) LIMITED 5 5 10 3 4 7 -2 -1 -3 50.00 57.14 2016-10-10
41 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 5 2 7 3 4 7 -2 2 0 28.57 57.14 2008-07-03
42 KGI FUTURES (HONG KONG) LIMITED 4 1 5 4 3 7 0 2 2 20.00 42.86
43 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
44 CAPE ASSET MANAGEMENT LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2006-05-23 2024-03-13
45 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2018-09-21
46 ENHANCED INVESTMENT PRODUCTS LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67
47 GOLDMAN SACHS (ASIA) L.L.C. 4 7 11 3 3 6 -1 -4 -5 63.64 50.00
48 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
49 HAMON ASSET MANAGEMENT LIMITED 2 5 7 2 4 6 0 -1 -1 71.43 66.67
50 Oasis Management (Hong Kong) 3 11 14 3 3 6 0 -8 -8 78.57 50.00 2004-09-14
51 PFP Capital Limited 2 5 7 2 4 6 0 -1 -1 71.43 66.67
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 AlTi Wealth Management (Hong Kong) Limited 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2004-05-11
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 CHEONG LEE SECURITIES LIMITED 1 0 1 2 3 5 1 3 4 0.00 60.00 2009-08-27
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 Standard Advisory Asia Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2007-03-09 2013-04-12
60 Tyric Capital Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2003-11-13
61 UPBEST COMMODITIES COMPANY LIMITED 4 1 5 3 2 5 -1 1 0 20.00 40.00
62 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2015-02-09
63 WINNINGTON CAPITAL LIMITED 2 4 6 3 2 5 1 -2 -1 66.67 40.00
64 AKTIS CAPITAL ADVISORY LIMITED 4 0 4 4 0 4 0 0 0 0.00 0.00 2003-11-29
65 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
66 Credit Suisse (Hong Kong) Limited 5 0 5 4 0 4 -1 0 -1 0.00 0.00 2008-11-04 2024-09-27
67 DELTA ASIA FINANCIAL FUTURES LIMITED 3 2 5 2 2 4 -1 0 -1 40.00 50.00
68 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-03-08 2022-03-16
69 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
70 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
71 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2024-03-21
72 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2020-06-02
73 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
74 MIZUHO SECURITIES ASIA LIMITED 0 0 0 3 1 4 3 1 4 - 25.00 2010-03-01 2016-05-05
75 NATIXIS ASIA LIMITED 3 3 6 2 2 4 -1 -1 -2 50.00 50.00 2008-08-05
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 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2016-04-19
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 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2014-05-07
84 BOCOM International Securities Limited 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2007-09-10
85 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2006-05-23 2017-07-25
86 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
87 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
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 PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00 2008-05-29 2014-04-17
91 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
92 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
93 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
94 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2011-01-18
95 Yuanta Asia Investment (Hong Kong) Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2003-08-13 2013-11-01
96 ZHONGRONG PT SECURITIES LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2010-07-30
97 AP Asset Management (HK) Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2004-08-26 2013-12-04
98 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
99 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
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 HAI TONG SECURITIES (HK) BROKERAGE LIMITED 3 0 3 2 0 2 -1 0 -1 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 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-06-01
116 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
117 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
118 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-10-30 2015-04-22
119 SDHG International Asset Management Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2008-12-02
120 SDICS International Futures (Hong Kong) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2010-10-25
121 SHACOM FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 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 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00
125 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2011-01-07
126 GUOYUAN FUTURES (HONG KONG) LIMITED 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2008-03-05
127 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 1 0 1 -2 0 -2 0.00 0.00 2011-10-20
128 RAB CAPITAL (ASIA) LIMITED 3 5 8 0 1 1 -3 -4 -7 62.50 100.00 2007-09-28 2010-11-22
129 YUE XIU FUTURES COMPANY LIMITED 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2024-07-30
130 BEAR STEARNS ASIA LIMITED 2 10 12 0 0 0 -2 -10 -12 83.33 - 2005-11-29 2010-04-28
131 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2010-11-03
132 GCIS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2007-11-22 2010-02-09
133 GOLDEN GREAT CHINA FUND MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-12-02 2010-06-01
134 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2006-02-07 2010-05-10
135 OVERLOOK INVESTMENTS LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2010-01-05
136 PEACE TOWN FUTURES LIMITED 4 0 4 0 0 0 -4 0 -4 0.00 - 2012-09-27
137 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 5.03 7.81 2.68 4.65 7.33 64.40 63.42

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