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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2010-03-31 2011-03-31 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 84 91 6 72 78 -1 -12 -13 92.31 92.31 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 40 43 4 73 77 1 33 34 93.02 94.81 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 2 64 66 2 56 58 0 -8 -8 96.97 96.55
4 JPMorgan Asset Management (Asia Pacific) Limited 3 32 35 4 36 40 1 4 5 91.43 90.00
5 HSBC Global Asset Management (Hong Kong) Limited 2 5 7 6 16 22 4 11 15 71.43 72.73
6 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 14 19 5 16 21 0 2 2 73.68 76.19
7 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 17 22 5 15 20 0 -2 -2 77.27 75.00
8 Fidelity Management & Research (Hong Kong) Limited 4 10 14 3 14 17 -1 4 3 71.43 82.35 2008-09-04 2013-12-19
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 3 12 15 -2 2 0 66.67 80.00
11 CHARLES SCHWAB, HONG KONG, LIMITED 4 10 14 4 11 15 0 1 1 71.43 73.33 2016-08-31
12 Manulife Investment Management (Hong Kong) Limited 3 8 11 2 13 15 -1 5 4 72.73 86.67
13 GET NICE FUTURES COMPANY LIMITED 2 13 15 2 12 14 0 -1 -1 86.67 85.71
14 HAITONG INTERNATIONAL FUTURES LIMITED 4 8 12 5 9 14 1 1 2 66.67 64.29
15 Morgan Stanley Asia Limited 5 12 17 4 10 14 -1 -2 -3 70.59 71.43 2006-04-07
16 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 8 10 4 9 13 2 1 3 80.00 69.23
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 (HK) LIMITED 5 2 7 3 8 11 -2 6 4 28.57 72.73 2008-07-03
19 HANG SENG FUTURES LIMITED 2 10 12 2 9 11 0 -1 -1 83.33 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 5 10 4 6 10 -1 1 0 50.00 60.00
22 OCP Asia (Hong Kong) Limited 3 8 11 3 7 10 0 -1 -1 72.73 70.00 2004-09-03 2022-06-13
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 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 6 8 2 7 9 0 1 1 75.00 77.78
27 MF Global Hong Kong Limited 3 7 10 2 7 9 -1 0 -1 70.00 77.78 2005-08-26
28 AD Capital Management (Hong Kong) Limited 2 7 9 2 6 8 0 -1 -1 77.78 75.00 2004-09-08
29 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
30 AXA Investment Managers Asia Limited 4 5 9 2 6 8 -2 1 -1 55.56 75.00 2015-06-15
31 KGI FUTURES (HONG KONG) LIMITED 4 1 5 4 4 8 0 3 3 20.00 50.00
32 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
33 Oasis Management (Hong Kong) 3 4 7 3 5 8 0 1 1 57.14 62.50 2004-09-14
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 COMMODITIES & FUTURES LIMITED 3 3 6 4 3 7 1 0 1 50.00 42.86 2004-11-17
38 BOCI SECURITIES LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57 2005-10-06
39 DEUTSCHE SECURITIES ASIA LIMITED 3 3 6 4 3 7 1 0 1 50.00 42.86 2004-01-08 2020-02-04
40 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
41 ICBC Asset Management (Global) Company Limited 3 4 7 2 5 7 -1 1 0 57.14 71.43
42 SINOPAC FUTURES (ASIA) LIMITED 2 2 4 2 5 7 0 3 3 50.00 71.43 2014-09-25
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 NATIXIS ASIA LIMITED 2 3 5 3 3 6 1 0 1 60.00 50.00 2008-08-05
47 RG ASSET MANAGEMENT COMPANY LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2013-11-25
48 BREVAN HOWARD (HONG KONG) LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2008-03-12 2018-05-11
49 EMPEROR FUTURES LIMITED 3 1 4 2 3 5 -1 2 1 25.00 60.00
50 GOLDMAN SACHS (ASIA) L.L.C. 3 5 8 2 3 5 -1 -2 -3 62.50 60.00
51 GOLDMAN SACHS FUTURES (ASIA) LIMITED 3 4 7 3 2 5 0 -2 -2 57.14 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 PFP Capital Limited 2 5 7 2 3 5 0 -2 -2 71.43 60.00
55 SG SECURITIES (HK) LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2010-11-16
56 Standard Advisory Asia Limited 3 2 5 3 2 5 0 0 0 40.00 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 3 1 4 3 2 5 0 1 1 25.00 40.00
59 WFM Asia (HK) Limited 3 2 5 3 2 5 0 0 0 40.00 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 WINNINGTON CAPITAL LIMITED 2 4 6 3 2 5 1 -2 -1 66.67 40.00
62 AlTi Wealth Management (Hong Kong) Limited 3 5 8 2 2 4 -1 -3 -4 62.50 50.00 2004-05-11
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 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 CHEONG LEE SECURITIES LIMITED 1 0 1 2 2 4 1 2 3 0.00 50.00 2009-08-27
66 Credit Suisse (Hong Kong) Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2008-11-04 2024-09-27
67 DELTA ASIA FINANCIAL FUTURES LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00
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 0 3 3 1 4 0 1 1 0.00 25.00
70 FIL Investment Management (Hong Kong) Limited 3 0 3 3 1 4 0 1 1 0.00 25.00
71 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
72 FT Securities Limited 2 56 58 3 1 4 1 -55 -54 96.55 25.00 2005-09-22 2012-07-13
73 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2024-03-21
74 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2010-11-26
75 HGNH International Futures Co., Limited 0 0 0 4 0 4 4 0 4 - 0.00 2010-11-01
76 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2020-06-02
77 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
78 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
79 RC Futures Advisory Limited 0 0 0 3 1 4 3 1 4 - 25.00 2010-05-19
80 VALUE PARTNERS HONG KONG LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2007-11-19
81 VALUE PARTNERS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00
82 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2016-04-19
83 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
84 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2012-06-25
85 AKTIS CAPITAL ADVISORY LIMITED 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2003-11-29
86 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2014-05-07
87 BOCOM International Securities Limited 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2007-09-10
88 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2006-05-23 2017-07-25
89 CLSA FUTURES LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00 2016-06-02
90 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
91 GAM HONG KONG LIMITED 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2013-06-19
92 GENERALI INVESTMENTS ASIA LIMITED 3 5 8 2 1 3 -1 -4 -5 62.50 33.33 2007-12-28 2018-09-26
93 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
94 MIZUHO SECURITIES ASIA LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-03-01 2016-05-05
95 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
96 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
97 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-07-10
98 TRADING CENTRAL ASIA LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2011-03-08
99 Yuanta Asia Investment (Hong Kong) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2003-08-13 2013-11-01
100 ZHONGRONG PT SECURITIES LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2010-07-30
101 AP Asset Management (HK) Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2004-08-26 2013-12-04
102 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
103 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
104 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2011-02-15
105 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
106 Funderstone Asset Management (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-11-14
107 Guosen Securities (HK) Brokerage Company, Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-03-14
108 GUOYUAN FUTURES (HONG KONG) LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00 2008-03-05
109 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
110 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
111 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
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 Metaverse Securities Limited (HK) 2 1 3 2 0 2 0 -1 -1 33.33 0.00
116 MFG Limited (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2010-05-24
117 MIB FUTURES (HONG KONG) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2011-03-25
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 0 2 2 0 2 0 0 0 0.00 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 SDICS International Futures (Hong Kong) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2010-10-25
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 Zhonghao International Futures Co., Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-03-10 2013-08-02
127 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
128 PEACE TOWN FUND MANAGEMENT LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2011-10-20
129 YUE XIU FUTURES COMPANY LIMITED 1 1 2 1 0 1 0 -1 -1 50.00 0.00 2024-07-30
130 BNP PARIBAS DEALING SERVICES ASIA LIMITED 3 2 5 0 0 0 -3 -2 -5 40.00 - 2010-11-03
131 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-01-07
132 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 3 23 26 0 0 0 -3 -23 -26 88.46 - 2011-03-23
133 CNCB (Hong Kong) Capital Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2015-08-20
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 HAI TONG SECURITIES (HK) BROKERAGE LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2007-12-18 2011-02-23
136 JPMorgan Asset Management (Japan) Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-07-15
137 MUSHK Limited 1 0 1 0 0 0 -1 0 -1 0.00 - 2011-06-01
138 PEACE TOWN FUTURES LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2012-09-27
139 RAB CAPITAL (ASIA) LIMITED 2 6 8 0 0 0 -2 -6 -8 75.00 - 2007-09-28 2010-11-22
140 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2011-01-18
Average 2.72 5.15 7.87 2.68 4.81 7.49 65.44 64.18

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