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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2010-01-31 2011-01-31 Change Rep v total
Row Name RO Rep Total RO Rep Total RO Rep Total Start
%		 End
%		 Licence
start		 Licence
end
1 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 40 43 4 71 75 1 31 32 93.02 94.67 2004-10-14
2 J.P. MORGAN BROKING (HONG KONG) LIMITED 7 81 88 6 68 74 -1 -13 -14 92.05 91.89 2003-12-02
3 PHILLIP COMMODITIES (H.K.) LIMITED 2 64 66 2 54 56 0 -10 -10 96.97 96.43
4 JPMorgan Asset Management (Asia Pacific) Limited 3 30 33 3 35 38 0 5 5 90.91 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 14 19 4 15 19 -1 1 0 73.68 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 10 15 4 12 16 -1 2 1 66.67 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 Manulife Investment Management (Hong Kong) Limited 3 10 13 2 14 16 -1 4 3 76.92 87.50
13 Morgan Stanley Asia Limited 4 12 16 4 11 15 0 -1 -1 75.00 73.33 2006-04-07
14 GET NICE FUTURES COMPANY LIMITED 2 13 15 2 12 14 0 -1 -1 86.67 85.71
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 Ark Futures (Hong Kong) Limited 4 4 8 4 8 12 0 4 4 50.00 66.67 2006-02-07
18 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 8 10 4 7 11 2 -1 1 80.00 63.64
19 HANG SENG FUTURES LIMITED 2 11 13 2 9 11 0 -2 -2 84.62 81.82 2017-11-17
20 HSBC FUTURES (SINGAPORE) PTE LTD 4 8 12 4 7 11 0 -1 -1 66.67 63.64 2007-04-20 2012-08-08
21 AllianceBernstein Hong Kong Limited 5 6 11 4 6 10 -1 0 -1 54.55 60.00
22 HANG SENG INVESTMENT MANAGEMENT LIMITED 3 7 10 2 8 10 -1 1 0 70.00 80.00
23 OCP Asia (Hong Kong) Limited 3 8 11 3 7 10 0 -1 -1 72.73 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 CHIEF COMMODITIES LIMITED 2 3 5 3 6 9 1 3 4 60.00 66.67 2006-05-17 2025-08-31
28 DEUTSCHE SECURITIES ASIA LIMITED 4 4 8 6 3 9 2 -1 1 50.00 33.33 2004-01-08 2020-02-04
29 AD Capital Management (Hong Kong) Limited 2 7 9 2 6 8 0 -1 -1 77.78 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 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 4 2 6 3 5 8 -1 3 2 33.33 62.50 2008-07-03
33 ICBC Asset Management (Global) Company Limited 4 2 6 3 5 8 -1 3 2 33.33 62.50
34 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
35 MF Global Hong Kong Limited 3 7 10 2 6 8 -1 -1 -2 70.00 75.00 2005-08-26
36 OLD PEAK LIMITED (HK) 4 4 8 4 4 8 0 0 0 50.00 50.00 2005-08-26 2023-06-20
37 BALLINGAL INVESTMENT ADVISORS LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2004-08-13
38 BOCI SECURITIES LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57 2005-10-06
39 KGI FUTURES (HONG KONG) LIMITED 4 1 5 4 3 7 0 2 2 20.00 42.86
40 CAPE ASSET MANAGEMENT LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2006-05-23 2024-03-13
41 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2018-09-21
42 ENHANCED INVESTMENT PRODUCTS LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67
43 Halbis Capital Management (Hong Kong) Limited 4 3 7 3 3 6 -1 0 -1 42.86 50.00 2005-06-23 2012-05-11
44 Oasis Management (Hong Kong) 2 10 12 3 3 6 1 -7 -6 83.33 50.00 2004-09-14
45 RG ASSET MANAGEMENT COMPANY LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2013-11-25
46 SINOPAC FUTURES (ASIA) LIMITED 2 2 4 2 4 6 0 2 2 50.00 66.67 2014-09-25
47 BREVAN HOWARD (HONG KONG) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2008-03-12 2018-05-11
48 CHEONG LEE SECURITIES LIMITED 1 0 1 2 3 5 1 3 4 0.00 60.00 2009-08-27
49 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2024-03-21
50 GOLDMAN SACHS (ASIA) L.L.C. 3 6 9 2 3 5 -1 -3 -4 66.67 60.00
51 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 5 9 3 2 5 -1 -3 -4 55.56 40.00 2016-10-10
52 HAMON ASSET MANAGEMENT LIMITED 2 5 7 2 3 5 0 -2 -2 71.43 60.00
53 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
54 NATIXIS ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2008-08-05
55 PFP Capital Limited 2 5 7 2 3 5 0 -2 -2 71.43 60.00
56 Standard Advisory Asia Limited 2 2 4 3 2 5 1 0 1 50.00 40.00 2007-03-09 2013-04-12
57 Tyric Capital Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2003-11-13
58 UPBEST COMMODITIES COMPANY LIMITED 4 1 5 3 2 5 -1 1 0 20.00 40.00
59 WFM Asia (HK) Limited 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2013-11-05
60 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2015-02-09
61 AlTi Wealth Management (Hong Kong) Limited 3 4 7 2 2 4 -1 -2 -3 57.14 50.00 2004-05-11
62 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
63 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 1 4 0 -2 -2 50.00 25.00 2004-11-17
64 CES Capital International (Hong Kong) Co., Limited 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2009-05-29 2023-02-23
65 Credit Suisse (Hong Kong) Limited 5 0 5 4 0 4 -1 0 -1 0.00 0.00 2008-11-04 2024-09-27
66 DELTA ASIA FINANCIAL FUTURES LIMITED 3 2 5 2 2 4 -1 0 -1 40.00 50.00
67 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-03-08 2022-03-16
68 FIL Investment Advisors 3 0 3 3 1 4 0 1 1 0.00 25.00
69 FIL Investment Management (Hong Kong) Limited 3 0 3 3 1 4 0 1 1 0.00 25.00
70 HGNH International Futures Co., Limited 0 0 0 4 0 4 4 0 4 - 0.00 2010-11-01
71 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2020-06-02
72 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
73 MIZUHO SECURITIES ASIA LIMITED 0 0 0 4 0 4 4 0 4 - 0.00 2010-03-01 2016-05-05
74 Pyramis Global Advisors (Hong Kong) Limited 3 0 3 3 1 4 0 1 1 0.00 25.00 2008-07-29 2013-11-15
75 RC Futures Advisory Limited 0 0 0 2 2 4 2 2 4 - 50.00 2010-05-19
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 WINNINGTON CAPITAL LIMITED 2 4 6 3 1 4 1 -3 -2 66.67 25.00
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 AKTIS CAPITAL ADVISORY LIMITED 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2003-11-29
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 EMPEROR FUTURES LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33
87 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
88 FT Securities Limited 2 57 59 2 1 3 0 -56 -56 96.61 33.33 2005-09-22 2012-07-13
89 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
90 GAM HONG KONG LIMITED 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2013-06-19
91 GENERALI INVESTMENTS ASIA LIMITED 3 6 9 2 1 3 -1 -5 -6 66.67 33.33 2007-12-28 2018-09-26
92 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2010-11-26
93 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
94 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
95 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
96 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
97 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
98 ZHONGRONG PT SECURITIES LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2010-07-30
99 AP Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-08-26 2013-12-04
100 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 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 CLSA FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2016-06-02
104 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
105 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
106 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
107 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
108 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
109 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02 2012-12-14
110 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
111 MAGUSTA FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-02-26
112 Metaverse Securities Limited (HK) 2 1 3 2 0 2 0 -1 -1 33.33 0.00
113 MFG Limited (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2010-05-24
114 MUSHK Limited 1 0 1 2 0 2 1 0 1 0.00 0.00 2011-06-01
115 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
116 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
117 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-10-30 2015-04-22
118 SDHG International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
119 SDICS International Futures (Hong Kong) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2010-10-25
120 SG SECURITIES (HK) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2010-11-16
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 0 1 1 0 1 0 0 0 0.00 0.00
125 GUOYUAN FUTURES (HONG KONG) LIMITED 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2008-03-05
126 PEACE TOWN FUND MANAGEMENT LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2011-10-20
127 YUE XIU FUTURES COMPANY LIMITED 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2024-07-30
128 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2010-11-03
129 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-01-07
130 CNCB (Hong Kong) Capital Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2015-08-20
131 GOLDEN GREAT CHINA FUND MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-12-02 2010-06-01
132 HAI TONG SECURITIES (HK) BROKERAGE LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2007-12-18 2011-02-23
133 INFINITI INVESTMENT MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2006-02-07 2010-05-10
134 PEACE TOWN FUTURES LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2012-09-27
135 RAB CAPITAL (ASIA) LIMITED 3 5 8 0 0 0 -3 -5 -8 62.50 - 2007-09-28 2010-11-22
136 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2011-01-18
137 Vicis Capital (Hong Kong) Limited 2 1 3 0 0 0 -2 -1 -3 33.33 - 2008-11-26 2010-06-15
Average 2.72 5.16 7.88 2.69 4.88 7.57 65.49 64.52

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