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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2010-05-31 2011-05-31 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 80 87 6 74 80 -1 -6 -7 91.95 92.50 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 63 65 2 54 56 0 -9 -9 96.92 96.43
4 JPMorgan Asset Management (Asia Pacific) Limited 3 33 36 4 36 40 1 3 4 91.67 90.00
5 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 17 22 5 16 21 0 -1 -1 77.27 76.19
6 HSBC Global Asset Management (Hong Kong) Limited 2 5 7 5 16 21 3 11 14 71.43 76.19
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 13 17 5 15 20 1 2 3 76.47 75.00
8 Fidelity Management & Research (Hong Kong) Limited 4 9 13 3 14 17 -1 5 4 69.23 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 11 15 4 11 15 0 0 0 73.33 73.33 2016-08-31
12 HAITONG INTERNATIONAL FUTURES LIMITED 6 8 14 5 10 15 -1 2 1 57.14 66.67
13 Manulife Investment Management (Hong Kong) Limited 2 8 10 2 13 15 0 5 5 80.00 86.67
14 Morgan Stanley Asia Limited 5 12 17 4 11 15 -1 -1 -2 70.59 73.33 2006-04-07
15 GET NICE FUTURES COMPANY LIMITED 2 12 14 2 12 14 0 0 0 85.71 85.71
16 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 4 10 14 4 10 14 0 0 0 71.43 71.43
17 Ark Futures (Hong Kong) Limited 4 6 10 4 9 13 0 3 3 60.00 69.23 2006-02-07
18 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 4 3 7 3 10 13 -1 7 6 42.86 76.92 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 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 7 9 2 9 11 0 2 2 77.78 81.82
21 HSBC FUTURES (SINGAPORE) PTE LTD 4 8 12 4 7 11 0 -1 -1 66.67 63.64 2007-04-20 2012-08-08
22 MF Global Hong Kong Limited 3 6 9 2 9 11 -1 3 2 66.67 81.82 2005-08-26
23 OCP Asia (Hong Kong) Limited 3 8 11 3 8 11 0 0 0 72.73 72.73 2004-09-03 2022-06-13
24 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 8 10 2 8 10 0 0 0 80.00 80.00 2012-01-12
25 AllianceBernstein Hong Kong Limited 5 5 10 3 6 9 -2 1 -1 50.00 66.67
26 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 5 4 9 2 1 3 50.00 44.44 2004-11-17
27 CHIEF COMMODITIES LIMITED 2 3 5 3 6 9 1 3 4 60.00 66.67 2006-05-17 2025-08-31
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 4 8 2 6 8 -2 2 0 50.00 75.00 2015-06-15
30 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 4 6 10 4 4 8 0 -2 -2 60.00 50.00 2018-12-31
31 DEUTSCHE SECURITIES ASIA LIMITED 4 4 8 4 4 8 0 0 0 50.00 50.00 2004-01-08 2020-02-04
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 Oasis Management (Hong Kong) 3 4 7 3 5 8 0 1 1 57.14 62.50 2004-09-14
35 OLD PEAK LIMITED (HK) 4 4 8 4 4 8 0 0 0 50.00 50.00 2005-08-26 2023-06-20
36 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 4 3 7 2 5 7 -2 2 0 42.86 71.43 2015-06-15
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 HAMON ASSET MANAGEMENT LIMITED 3 4 7 2 5 7 -1 1 0 57.14 71.43
40 PFP Capital Limited 3 4 7 2 5 7 -1 1 0 57.14 71.43
41 WINNINGTON CAPITAL LIMITED 2 4 6 3 4 7 1 0 1 66.67 57.14
42 AD Capital Management (Hong Kong) Limited 2 7 9 1 5 6 -1 -2 -3 77.78 83.33 2004-09-08
43 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2018-09-21
44 ENHANCED INVESTMENT PRODUCTS LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67
45 GOLDMAN SACHS (ASIA) L.L.C. 3 6 9 3 3 6 0 -3 -3 66.67 50.00
46 Halbis Capital Management (Hong Kong) Limited 4 3 7 2 4 6 -2 1 -1 42.86 66.67 2005-06-23 2012-05-11
47 ICBC Asset Management (Global) Company Limited 3 4 7 2 4 6 -1 0 -1 57.14 66.67
48 RG ASSET MANAGEMENT COMPANY LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2013-11-25
49 SG SECURITIES (HK) LIMITED 0 0 0 2 4 6 2 4 6 - 66.67 2010-11-16
50 SINOPAC FUTURES (ASIA) LIMITED 2 2 4 2 4 6 0 2 2 50.00 66.67 2014-09-25
51 BREVAN HOWARD (HONG KONG) LIMITED 4 5 9 3 2 5 -1 -3 -4 55.56 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 0 3 2 3 5 -1 3 2 0.00 60.00
54 GOLDMAN SACHS FUTURES (ASIA) LIMITED 3 4 7 3 2 5 0 -2 -2 57.14 40.00 2016-10-10
55 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00
56 NATIXIS ASIA LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2008-08-05
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 3 1 4 3 2 5 0 1 1 25.00 40.00
60 WFM Asia (HK) Limited 3 2 5 3 2 5 0 0 0 40.00 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 AlTi Wealth Management (Hong Kong) Limited 2 4 6 2 2 4 0 -2 -2 66.67 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 CAPE ASSET MANAGEMENT LIMITED 3 4 7 3 1 4 0 -3 -3 57.14 25.00 2006-05-23 2024-03-13
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 CLSA FUTURES LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2016-06-02
67 Credit Suisse (Hong Kong) Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2008-11-04 2024-09-27
68 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 3 1 4 1 -1 0 50.00 25.00
69 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-03-08 2022-03-16
70 FIL Investment Advisors 3 0 3 3 1 4 0 1 1 0.00 25.00
71 FIL Investment Management (Hong Kong) Limited 3 0 3 3 1 4 0 1 1 0.00 25.00
72 FIRST SHANGHAI FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
73 FT Securities Limited 2 53 55 3 1 4 1 -52 -51 96.36 25.00 2005-09-22 2012-07-13
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 2 0 2 3 1 4 1 1 2 0.00 25.00 2010-05-19
80 VALUE PARTNERS HONG KONG LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2007-11-19
81 VALUE PARTNERS LIMITED 2 2 4 2 2 4 0 0 0 50.00 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 3 0 3 3 0 3 0 0 0 0.00 0.00 2007-09-10
88 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2011-02-15
89 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2006-05-23 2017-07-25
90 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2024-03-21
91 GAM HONG KONG LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2013-06-19
92 GENERALI INVESTMENTS ASIA LIMITED 3 4 7 2 1 3 -1 -3 -4 57.14 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 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 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2011-04-26
104 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
105 Funderstone Futures Limited 2 1 3 1 1 2 -1 0 -1 33.33 50.00
106 Guosen Securities (HK) Brokerage Company, Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-03-14
107 GUOYUAN FUTURES (HONG KONG) LIMITED 2 0 2 1 1 2 -1 1 0 0.00 50.00 2008-03-05
108 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
109 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
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 MIB FUTURES (HONG KONG) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2011-03-25
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 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2012-07-10
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 Zhonghao International Futures Co., Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-03-10 2013-08-02
125 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
126 CNCB (Hong Kong) Capital Limited 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2015-08-20
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 MFG Limited (HK) 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2010-05-24
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 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 3 0 3 0 0 0 -3 0 -3 0.00 - 2011-06-01
138 PEACE TOWN FUND MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-10-20
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 1 3 0 0 0 -2 -1 -3 33.33 - 2011-01-18
Average 2.75 5.01 7.75 2.62 4.88 7.51 64.58 65.06

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