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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2009-11-30 2010-11-30 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 76 83 7 68 75 0 -8 -8 91.57 90.67 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 40 43 4 71 75 1 31 32 93.02 94.67 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 2 60 62 2 55 57 0 -5 -5 96.77 96.49
4 JPMorgan Asset Management (Asia Pacific) Limited 3 29 32 3 35 38 0 6 6 90.63 92.11
5 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 3 21 24 3 28 31 0 7 7 87.50 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 15 20 4 15 19 -1 0 -1 75.00 78.95
9 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 11 15 4 13 17 0 2 2 73.33 76.47
10 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 9 14 4 12 16 -1 3 2 64.29 75.00
11 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
12 Morgan Stanley Asia Limited 4 10 14 4 12 16 0 2 2 71.43 75.00 2006-04-07
13 GET NICE FUTURES COMPANY LIMITED 1 14 15 2 12 14 1 -2 -1 93.33 85.71
14 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 8 10 4 10 14 2 2 4 80.00 71.43
15 HAITONG INTERNATIONAL FUTURES LIMITED 4 8 12 5 9 14 1 1 2 66.67 64.29
16 CHARLES SCHWAB, HONG KONG, LIMITED 4 10 14 4 9 13 0 -1 -1 71.43 69.23 2016-08-31
17 AllianceBernstein Hong Kong Limited 5 7 12 6 5 11 1 -2 -1 58.33 45.45
18 HANG SENG FUTURES LIMITED 2 11 13 2 9 11 0 -2 -2 84.62 81.82 2017-11-17
19 HSBC FUTURES (SINGAPORE) PTE LTD 3 8 11 4 7 11 1 -1 0 72.73 63.64 2007-04-20 2012-08-08
20 Manulife Investment Management (Hong Kong) Limited 3 10 13 2 9 11 -1 -1 -2 76.92 81.82
21 Ark Futures (Hong Kong) Limited 4 4 8 4 6 10 0 2 2 50.00 60.00 2006-02-07
22 FT Securities Limited 2 59 61 2 8 10 0 -51 -51 96.72 80.00 2005-09-22 2012-07-13
23 OCP Asia (Hong Kong) Limited 2 9 11 3 7 10 1 -2 -1 81.82 70.00 2004-09-03 2022-06-13
24 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 9 11 2 8 10 0 -1 -1 81.82 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 3 6 4 5 9 1 2 3 50.00 55.56 2018-12-31
27 DEUTSCHE SECURITIES ASIA LIMITED 5 4 9 6 3 9 1 -1 0 44.44 33.33 2004-01-08 2020-02-04
28 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 4 2 6 3 6 9 -1 4 3 33.33 66.67 2008-07-03
29 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 7 10 2 7 9 -1 0 -1 70.00 77.78
30 AD Capital Management (Hong Kong) Limited 3 6 9 2 6 8 -1 0 -1 66.67 75.00 2004-09-08
31 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
32 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 4 4 8 3 5 8 -1 1 0 50.00 62.50 2015-06-15
33 BALLINGAL INVESTMENT ADVISORS LIMITED 2 5 7 2 6 8 0 1 1 71.43 75.00 2004-08-13
34 CHIEF COMMODITIES LIMITED 2 3 5 3 5 8 1 2 3 60.00 62.50 2006-05-17 2025-08-31
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 7 10 3 5 8 0 -2 -2 70.00 62.50 2005-08-26
38 OLD PEAK LIMITED (HK) 4 4 8 4 4 8 0 0 0 50.00 50.00 2005-08-26 2023-06-20
39 BOCI SECURITIES LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57 2005-10-06
40 GOLDMAN SACHS FUTURES (ASIA) LIMITED 5 5 10 3 4 7 -2 -1 -3 50.00 57.14 2016-10-10
41 KGI FUTURES (HONG KONG) LIMITED 4 1 5 4 3 7 0 2 2 20.00 42.86
42 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
43 CAPE ASSET MANAGEMENT LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2006-05-23 2024-03-13
44 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2018-09-21
45 ENHANCED INVESTMENT PRODUCTS LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67
46 GOLDMAN SACHS (ASIA) L.L.C. 4 7 11 3 3 6 -1 -4 -5 63.64 50.00
47 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
48 HAMON ASSET MANAGEMENT LIMITED 2 5 7 2 4 6 0 -1 -1 71.43 66.67
49 Oasis Management (Hong Kong) 3 11 14 3 3 6 0 -8 -8 78.57 50.00 2004-09-14
50 PFP Capital Limited 2 5 7 2 4 6 0 -1 -1 71.43 66.67
51 RG ASSET MANAGEMENT COMPANY LIMITED 4 3 7 4 2 6 0 -1 -1 42.86 33.33 2013-11-25
52 AlTi Wealth Management (Hong Kong) Limited 3 4 7 2 3 5 -1 -1 -2 57.14 60.00 2004-05-11
53 BREVAN HOWARD (HONG KONG) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2008-03-12 2018-05-11
54 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
55 CHEONG LEE SECURITIES LIMITED 1 0 1 2 3 5 1 3 4 0.00 60.00 2009-08-27
56 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
57 Standard Advisory Asia Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2007-03-09 2013-04-12
58 Tyric Capital Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2003-11-13
59 UPBEST COMMODITIES COMPANY LIMITED 4 1 5 3 2 5 -1 1 0 20.00 40.00
60 WFM Asia (HK) Limited 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2013-11-05
61 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2015-02-09
62 WINNINGTON CAPITAL LIMITED 2 4 6 3 2 5 1 -2 -1 66.67 40.00
63 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
64 Credit Suisse (Hong Kong) Limited 5 0 5 4 0 4 -1 0 -1 0.00 0.00 2008-11-04 2024-09-27
65 DELTA ASIA FINANCIAL FUTURES LIMITED 3 2 5 2 2 4 -1 0 -1 40.00 50.00
66 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-03-08 2022-03-16
67 FIL Investment Advisors 4 0 4 3 1 4 -1 1 0 0.00 25.00
68 FIL Investment Management (Hong Kong) Limited 4 0 4 3 1 4 -1 1 0 0.00 25.00
69 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2024-03-21
70 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2020-06-02
71 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
72 MIZUHO SECURITIES ASIA LIMITED 0 0 0 4 0 4 4 0 4 - 0.00 2010-03-01 2016-05-05
73 NATIXIS ASIA LIMITED 3 3 6 2 2 4 -1 -1 -2 50.00 50.00 2008-08-05
74 RC Futures Advisory Limited 0 0 0 2 2 4 2 2 4 - 50.00 2010-05-19
75 SINOPAC FUTURES (ASIA) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2014-09-25
76 VALUE PARTNERS HONG KONG LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2007-11-19
77 VALUE PARTNERS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00
78 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2016-04-19
79 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
80 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2012-06-25
81 AKTIS CAPITAL ADVISORY LIMITED 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2003-11-29
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 GAM HONG KONG LIMITED 3 3 6 2 1 3 -1 -2 -3 50.00 33.33 2013-06-19
88 GENERALI INVESTMENTS ASIA LIMITED 3 6 9 2 1 3 -1 -5 -6 66.67 33.33 2007-12-28 2018-09-26
89 HGNH International Futures Co., Limited 0 0 0 3 0 3 3 0 3 - 0.00 2010-11-01
90 Metaverse Securities Limited (HK) 2 1 3 2 1 3 0 0 0 33.33 33.33
91 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
92 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
93 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
94 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
95 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2011-01-18
96 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
97 ZHONGRONG PT SECURITIES LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2010-07-30
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 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
100 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
101 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
102 CLSA FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2016-06-02
103 CNCB (Hong Kong) Capital Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-08-20
104 EMPEROR FUTURES LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00
105 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
106 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2010-11-26
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 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-06-01
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 0 2 2 0 2 0 0 0 0.00 0.00 2003-10-30 2015-04-22
120 SDHG International Asset Management Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2008-12-02
121 SDICS International Futures (Hong Kong) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2010-10-25
122 SG SECURITIES (HK) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2010-11-16
123 SHACOM FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
124 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
125 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
126 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 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 GUOYUAN FUTURES (HONG KONG) LIMITED 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2008-03-05
129 HAI TONG SECURITIES (HK) BROKERAGE LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2007-12-18 2011-02-23
130 PEACE TOWN FUND MANAGEMENT LIMITED 3 0 3 1 0 1 -2 0 -2 0.00 0.00 2011-10-20
131 YUE XIU FUTURES COMPANY LIMITED 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2024-07-30
132 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2010-11-03
133 GCIS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2007-11-22 2010-02-09
134 GOLDEN GREAT CHINA FUND MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-12-02 2010-06-01
135 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2006-02-07 2010-05-10
136 OVERLOOK INVESTMENTS LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2010-01-05
137 PEACE TOWN FUTURES LIMITED 4 0 4 0 0 0 -4 0 -4 0.00 - 2012-09-27
138 RAB CAPITAL (ASIA) LIMITED 3 5 8 0 0 0 -3 -5 -8 62.50 - 2007-09-28 2010-11-22
139 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 2.68 4.78 7.46 64.59 64.07

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