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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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:

Some data are hidden to fit your display. Rotate?

2010-02-28 2011-02-28 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 73 77 1 33 34 93.02 94.81 2004-10-14
2 J.P. MORGAN BROKING (HONG KONG) LIMITED 7 81 88 6 69 75 -1 -12 -13 92.05 92.00 2003-12-02
3 PHILLIP COMMODITIES (H.K.) LIMITED 2 62 64 2 55 57 0 -7 -7 96.88 96.49
4 JPMorgan Asset Management (Asia Pacific) Limited 3 30 33 3 36 39 0 6 6 90.91 92.31
5 HSBC Global Asset Management (Hong Kong) Limited 2 5 7 6 16 22 4 11 15 71.43 72.73
6 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 17 22 5 16 21 0 -1 -1 77.27 76.19
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 14 19 5 15 20 0 1 1 73.68 75.00
8 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 11 15 4 13 17 0 2 2 73.33 76.47
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 10 15 4 12 16 -1 2 1 66.67 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 HAITONG INTERNATIONAL FUTURES LIMITED 4 8 12 5 10 15 1 2 3 66.67 66.67
12 Manulife Investment Management (Hong Kong) Limited 3 10 13 2 13 15 -1 3 2 76.92 86.67
13 Morgan Stanley Asia Limited 4 13 17 4 11 15 0 -2 -2 76.47 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 CHARLES SCHWAB, HONG KONG, LIMITED 4 10 14 4 9 13 0 -1 -1 71.43 69.23 2016-08-31
16 Ark Futures (Hong Kong) Limited 4 4 8 4 8 12 0 4 4 50.00 66.67 2006-02-07
17 HANG SENG FUTURES LIMITED 2 10 12 2 9 11 0 -1 -1 83.33 81.82 2017-11-17
18 HSBC FUTURES (SINGAPORE) PTE LTD 4 8 12 4 7 11 0 -1 -1 66.67 63.64 2007-04-20 2012-08-08
19 OCP Asia (Hong Kong) Limited 3 8 11 3 8 11 0 0 0 72.73 72.73 2004-09-03 2022-06-13
20 AllianceBernstein Hong Kong Limited 5 5 10 4 6 10 -1 1 0 50.00 60.00
21 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 8 10 4 6 10 2 -2 0 80.00 60.00
22 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 6 8 2 8 10 0 2 2 75.00 80.00
23 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 9 11 2 8 10 0 -1 -1 81.82 80.00 2012-01-12
24 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 3 3 6 4 5 9 1 2 3 50.00 55.56 2018-12-31
25 CHIEF COMMODITIES LIMITED 2 3 5 3 6 9 1 3 4 60.00 66.67 2006-05-17 2025-08-31
26 MF Global Hong Kong Limited 3 7 10 2 7 9 -1 0 -1 70.00 77.78 2005-08-26
27 AD Capital Management (Hong Kong) Limited 2 7 9 2 6 8 0 -1 -1 77.78 75.00 2004-09-08
28 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
29 AXA Investment Managers Asia Limited 4 5 9 2 6 8 -2 1 -1 55.56 75.00 2015-06-15
30 DEUTSCHE SECURITIES ASIA LIMITED 3 3 6 5 3 8 2 0 2 50.00 37.50 2004-01-08 2020-02-04
31 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 4 2 6 3 5 8 -1 3 2 33.33 62.50 2008-07-03
32 KGI FUTURES (HONG KONG) LIMITED 4 1 5 4 4 8 0 3 3 20.00 50.00
33 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
34 OLD PEAK LIMITED (HK) 4 4 8 4 4 8 0 0 0 50.00 50.00 2005-08-26 2023-06-20
35 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 4 4 8 2 5 7 -2 1 -1 50.00 71.43 2015-06-15
36 BALLINGAL INVESTMENT ADVISORS LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2004-08-13
37 BOCI SECURITIES LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57 2005-10-06
38 Halbis Capital Management (Hong Kong) Limited 4 3 7 3 4 7 -1 1 0 42.86 57.14 2005-06-23 2012-05-11
39 ICBC Asset Management (Global) Company Limited 3 3 6 2 5 7 -1 2 1 50.00 71.43
40 SINOPAC FUTURES (ASIA) LIMITED 2 2 4 2 5 7 0 3 3 50.00 71.43 2014-09-25
41 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2004-11-17
42 CAPE ASSET MANAGEMENT LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2006-05-23 2024-03-13
43 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2018-09-21
44 ENHANCED INVESTMENT PRODUCTS LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67
45 Oasis Management (Hong Kong) 2 10 12 3 3 6 1 -7 -6 83.33 50.00 2004-09-14
46 RG ASSET MANAGEMENT COMPANY LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2013-11-25
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 GOLDMAN SACHS (ASIA) L.L.C. 3 6 9 2 3 5 -1 -3 -4 66.67 60.00
49 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 4 8 3 2 5 -1 -2 -3 50.00 40.00 2016-10-10
50 HAMON ASSET MANAGEMENT LIMITED 2 5 7 2 3 5 0 -2 -2 71.43 60.00
51 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
52 NATIXIS ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2008-08-05
53 PFP Capital Limited 2 5 7 2 3 5 0 -2 -2 71.43 60.00
54 SG SECURITIES (HK) LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2010-11-16
55 Standard Advisory Asia Limited 2 2 4 3 2 5 1 0 1 50.00 40.00 2007-03-09 2013-04-12
56 Tyric Capital Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2003-11-13
57 UPBEST COMMODITIES COMPANY LIMITED 4 1 5 3 2 5 -1 1 0 20.00 40.00
58 WFM Asia (HK) Limited 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2013-11-05
59 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2015-02-09
60 WINNINGTON CAPITAL LIMITED 2 4 6 3 2 5 1 -2 -1 66.67 40.00
61 AlTi Wealth Management (Hong Kong) Limited 3 5 8 2 2 4 -1 -3 -4 62.50 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 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
64 CHEONG LEE SECURITIES LIMITED 1 0 1 2 2 4 1 2 3 0.00 50.00 2009-08-27
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 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2024-03-21
71 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2010-11-26
72 HGNH International Futures Co., Limited 0 0 0 4 0 4 4 0 4 - 0.00 2010-11-01
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 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
76 RC Futures Advisory Limited 0 0 0 2 2 4 2 2 4 - 50.00 2010-05-19
77 VALUE PARTNERS HONG KONG LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2007-11-19
78 VALUE PARTNERS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00
79 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2016-04-19
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 56 58 2 1 3 0 -55 -55 96.55 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 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
93 MIZUHO SECURITIES ASIA LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2010-03-01 2016-05-05
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 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2011-02-15
103 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
104 CLSA FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2016-06-02
105 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
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 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
109 JPMorgan Asset Management (Japan) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-07-15
110 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02 2012-12-14
111 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
112 MAGUSTA FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-02-26
113 Metaverse Securities Limited (HK) 2 1 3 2 0 2 0 -1 -1 33.33 0.00
114 MFG Limited (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2010-05-24
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 SHACOM FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
121 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
122 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
123 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
124 GUOYUAN FUTURES (HONG KONG) LIMITED 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2008-03-05
125 PEACE TOWN FUND MANAGEMENT LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2011-10-20
126 YUE XIU FUTURES COMPANY LIMITED 2 1 3 1 0 1 -1 -1 -2 33.33 0.00 2024-07-30
127 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2010-11-03
128 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-01-07
129 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 3 22 25 0 0 0 -3 -22 -25 88.00 - 2011-03-23
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 MUSHK Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2011-06-01
135 PEACE TOWN FUTURES LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2012-09-27
136 RAB CAPITAL (ASIA) LIMITED 2 6 8 0 0 0 -2 -6 -8 75.00 - 2007-09-28 2010-11-22
137 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2011-01-18
Average 2.70 5.17 7.87 2.65 4.82 7.47 65.74 64.51

Sign up for our free newsletter

Recommend Webb-site to a friend

Copyright & disclaimer, Privacy policy

Back to top