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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2010-04-30 2011-04-30 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 80 87 6 73 79 -1 -7 -8 91.95 92.41 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 41 45 4 73 77 0 32 32 91.11 94.81 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 2 66 68 2 53 55 0 -13 -13 97.06 96.36
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 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 17 22 5 15 20 0 -2 -2 77.27 75.00
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 14 18 5 15 20 1 1 2 77.78 75.00
8 Fidelity Management & Research (Hong Kong) Limited 3 10 13 3 14 17 0 4 4 76.92 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 12 17 3 12 15 -2 0 -2 70.59 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 12 14 2 12 14 0 0 0 85.71 85.71
14 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 2 10 12 4 10 14 2 0 2 83.33 71.43
15 HAITONG INTERNATIONAL FUTURES LIMITED 4 8 12 5 9 14 1 1 2 66.67 64.29
16 Ark Futures (Hong Kong) Limited 4 5 9 4 9 13 0 4 4 55.56 69.23 2006-02-07
17 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 5 3 8 3 10 13 -2 7 5 37.50 76.92 2008-07-03
18 Morgan Stanley Asia Limited 5 11 16 4 9 13 -1 -2 -3 68.75 69.23 2006-04-07
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 OCP Asia (Hong Kong) Limited 3 8 11 3 8 11 0 0 0 72.73 72.73 2004-09-03 2022-06-13
22 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 9 11 2 8 10 0 -1 -1 81.82 80.00 2012-01-12
23 AllianceBernstein Hong Kong Limited 5 5 10 3 6 9 -2 1 -1 50.00 66.67
24 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 4 6 10 4 5 9 0 -1 -1 60.00 55.56 2018-12-31
25 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 5 4 9 2 1 3 50.00 44.44 2004-11-17
26 CHIEF COMMODITIES LIMITED 2 3 5 3 6 9 1 3 4 60.00 66.67 2006-05-17 2025-08-31
27 MF Global Hong Kong Limited 3 6 9 2 7 9 -1 1 0 66.67 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 4 8 2 6 8 -2 2 0 50.00 75.00 2015-06-15
31 DEUTSCHE SECURITIES ASIA LIMITED 4 3 7 4 4 8 0 1 1 42.86 50.00 2004-01-08 2020-02-04
32 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 6 8 2 6 8 0 0 0 75.00 75.00
33 KGI FUTURES (HONG KONG) LIMITED 4 1 5 4 4 8 0 3 3 20.00 50.00
34 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
35 Oasis Management (Hong Kong) 3 4 7 3 5 8 0 1 1 57.14 62.50 2004-09-14
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 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 4 3 7 2 5 7 -2 2 0 42.86 71.43 2015-06-15
38 BALLINGAL INVESTMENT ADVISORS LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2004-08-13
39 BOCI SECURITIES LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57 2005-10-06
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 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 HAMON ASSET MANAGEMENT LIMITED 3 4 7 2 4 6 -1 0 -1 57.14 66.67
46 PFP Capital Limited 3 4 7 2 4 6 -1 0 -1 57.14 66.67
47 RG ASSET MANAGEMENT COMPANY LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2013-11-25
48 SG SECURITIES (HK) LIMITED 0 0 0 2 4 6 2 4 6 - 66.67 2010-11-16
49 SINOPAC FUTURES (ASIA) LIMITED 2 2 4 2 4 6 0 2 2 50.00 66.67 2014-09-25
50 WINNINGTON CAPITAL LIMITED 2 5 7 3 3 6 1 -2 -1 71.43 50.00
51 BREVAN HOWARD (HONG KONG) LIMITED 3 6 9 3 2 5 0 -4 -4 66.67 40.00 2008-03-12 2018-05-11
52 CHEONG LEE SECURITIES LIMITED 1 0 1 2 3 5 1 3 4 0.00 60.00 2009-08-27
53 EMPEROR FUTURES LIMITED 3 1 4 2 3 5 -1 2 1 25.00 60.00
54 GOLDMAN SACHS (ASIA) L.L.C. 3 5 8 2 3 5 -1 -2 -3 62.50 60.00
55 GOLDMAN SACHS FUTURES (ASIA) LIMITED 3 4 7 3 2 5 0 -2 -2 57.14 40.00 2016-10-10
56 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
57 NATIXIS ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2008-08-05
58 Standard Advisory Asia Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2007-03-09 2013-04-12
59 Tyric Capital Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2003-11-13
60 UPBEST COMMODITIES COMPANY LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00
61 WFM Asia (HK) Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2013-11-05
62 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2015-02-09
63 AlTi Wealth Management (Hong Kong) Limited 2 4 6 2 2 4 0 -2 -2 66.67 50.00 2004-05-11
64 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
65 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
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 2 2 4 3 1 4 1 -1 0 50.00 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 54 56 3 1 4 1 -53 -52 96.43 25.00 2005-09-22 2012-07-13
73 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2010-11-26
74 HGNH International Futures Co., Limited 0 0 0 4 0 4 4 0 4 - 0.00 2010-11-01
75 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2020-06-02
76 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
77 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
78 RC Futures Advisory Limited 0 0 0 3 1 4 3 1 4 - 25.00 2010-05-19
79 VALUE PARTNERS HONG KONG LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2007-11-19
80 VALUE PARTNERS LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
81 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2016-04-19
82 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
83 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2012-06-25
84 AKTIS CAPITAL ADVISORY LIMITED 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2003-11-29
85 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2014-05-07
86 BOCOM International Securities Limited 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2007-09-10
87 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2006-05-23 2017-07-25
88 CLSA FUTURES LIMITED 2 1 3 3 0 3 1 -1 0 33.33 0.00 2016-06-02
89 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2024-03-21
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 4 7 2 1 3 -1 -3 -4 57.14 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 3 0 3 3 0 3 0 0 0 0.00 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 TRADING CENTRAL ASIA LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2011-03-08
98 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
99 ZHONGRONG PT SECURITIES LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2010-07-30
100 AP Asset Management (HK) Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2004-08-26 2013-12-04
101 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
102 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
103 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2011-02-15
104 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2011-04-26
105 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
106 Funderstone Futures Limited 2 1 3 1 1 2 -1 0 -1 33.33 50.00
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 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
110 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
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 Metaverse Securities Limited (HK) 2 1 3 2 0 2 0 -1 -1 33.33 0.00
115 MFG Limited (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2010-05-24
116 MIB FUTURES (HONG KONG) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2011-03-25
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 0 2 2 0 2 0 0 0 0.00 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 SHACOM FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
123 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
124 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
125 Zhonghao International Futures Co., Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-03-10 2013-08-02
126 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
127 Funderstone Asset Management (HK) Limited 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2013-11-14
128 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2017-01-03
129 PEACE TOWN FUND MANAGEMENT LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2011-10-20
130 YUE XIU FUTURES COMPANY LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2024-07-30
131 BNP PARIBAS DEALING SERVICES ASIA LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2010-11-03
132 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-01-07
133 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 3 22 25 0 0 0 -3 -22 -25 88.00 - 2011-03-23
134 CNCB (Hong Kong) Capital Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2015-08-20
135 GOLDEN GREAT CHINA FUND MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-12-02 2010-06-01
136 HAI TONG SECURITIES (HK) BROKERAGE LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2007-12-18 2011-02-23
137 JPMorgan Asset Management (Japan) Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-07-15
138 MUSHK Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-06-01
139 PEACE TOWN FUTURES LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2012-09-27
140 RAB CAPITAL (ASIA) LIMITED 2 6 8 0 0 0 -2 -6 -8 75.00 - 2007-09-28 2010-11-22
141 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2011-01-18
Average 2.73 5.13 7.86 2.65 4.81 7.45 65.31 64.50

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