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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2010-07-31 2011-07-31 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 82 89 7 76 83 0 -6 -6 92.13 91.57 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 40 44 4 72 76 0 32 32 90.91 94.74 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 2 52 54 1 54 55 -1 2 1 96.30 98.18
4 JPMorgan Asset Management (Asia Pacific) Limited 3 35 38 4 37 41 1 2 3 92.11 90.24
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 5 16 21 4 16 20 -1 0 -1 76.19 80.00
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 4 9 13 3 15 18 -1 6 5 69.23 83.33 2008-09-04 2013-12-19
9 Ark Futures (Hong Kong) Limited 4 6 10 4 11 15 0 5 5 60.00 73.33 2006-02-07
10 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 11 15 3 12 15 -1 1 0 73.33 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 GOLDMAN SACHS (ASIA) L.L.C. 3 6 9 4 11 15 1 5 6 66.67 73.33
13 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 5 9 14 4 11 15 -1 2 1 64.29 73.33
14 Manulife Investment Management (Hong Kong) Limited 2 9 11 3 12 15 1 3 4 81.82 80.00
15 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 12 16 4 11 15 0 -1 -1 75.00 73.33
16 GET NICE FUTURES COMPANY LIMITED 2 12 14 2 12 14 0 0 0 85.71 85.71
17 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 4 2 6 3 11 14 -1 9 8 33.33 78.57 2008-07-03
18 HAITONG INTERNATIONAL FUTURES LIMITED 6 9 15 5 9 14 -1 0 -1 60.00 64.29
19 Morgan Stanley Asia Limited 4 12 16 2 12 14 -2 0 -2 75.00 85.71 2006-04-07
20 GOLDMAN SACHS FUTURES (ASIA) LIMITED 3 4 7 3 10 13 0 6 6 57.14 76.92 2016-10-10
21 MF Global Hong Kong Limited 3 6 9 4 8 12 1 2 3 66.67 66.67 2005-08-26
22 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 7 9 2 9 11 0 2 2 77.78 81.82
23 HSBC FUTURES (SINGAPORE) PTE LTD 4 8 12 4 7 11 0 -1 -1 66.67 63.64 2007-04-20 2012-08-08
24 OCP Asia (Hong Kong) Limited 3 8 11 3 8 11 0 0 0 72.73 72.73 2004-09-03 2022-06-13
25 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 5 5 10 2 2 4 50.00 50.00 2004-11-17
26 HAMON ASSET MANAGEMENT LIMITED 2 3 5 2 8 10 0 5 5 60.00 80.00
27 HANG SENG FUTURES LIMITED 2 10 12 2 8 10 0 -2 -2 83.33 80.00 2017-11-17
28 PFP Capital Limited 2 3 5 2 8 10 0 5 5 60.00 80.00
29 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 8 10 2 8 10 0 0 0 80.00 80.00 2012-01-12
30 CHIEF COMMODITIES LIMITED 3 4 7 3 6 9 0 2 2 57.14 66.67 2006-05-17 2025-08-31
31 AllianceBernstein Hong Kong Limited 5 6 11 3 5 8 -2 -1 -3 54.55 62.50
32 Allianz Global Investors Asia Pacific Limited (SFC:AOA171) 3 5 8 3 5 8 0 0 0 62.50 62.50 2007-01-12 2015-05-31
33 DEUTSCHE SECURITIES ASIA LIMITED 5 4 9 5 3 8 0 -1 -1 44.44 37.50 2004-01-08 2020-02-04
34 KGI FUTURES (HONG KONG) LIMITED 4 3 7 4 4 8 0 1 1 42.86 50.00
35 METRO CAPITAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2014-11-26
36 Oasis Management (Hong Kong) 3 3 6 3 5 8 0 2 2 50.00 62.50 2004-09-14
37 OLD PEAK LIMITED (HK) 4 4 8 4 4 8 0 0 0 50.00 50.00 2005-08-26 2023-06-20
38 BALLINGAL INVESTMENT ADVISORS LIMITED 2 7 9 3 4 7 1 -3 -2 77.78 57.14 2004-08-13
39 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 4 6 10 3 4 7 -1 -2 -3 60.00 57.14 2018-12-31
40 BOCI SECURITIES LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57 2005-10-06
41 Halbis Capital Management (Hong Kong) Limited 3 3 6 5 2 7 2 -1 1 50.00 28.57 2005-06-23 2012-05-11
42 WINNINGTON CAPITAL LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14
43 AD Capital Management (Hong Kong) Limited 2 6 8 2 4 6 0 -2 -2 75.00 66.67 2004-09-08
44 AXA Investment Managers Asia Limited 3 6 9 1 5 6 -2 -1 -3 66.67 83.33 2015-06-15
45 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 5 8 1 5 6 -2 0 -2 62.50 83.33 2015-06-15
46 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2018-09-21
47 EMPEROR FUTURES LIMITED 2 0 2 2 4 6 0 4 4 0.00 66.67
48 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67
49 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 4 2 6 2 -1 1 60.00 33.33
50 NATIXIS ASIA LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67 2008-08-05
51 SINOPAC FUTURES (ASIA) LIMITED 2 2 4 2 4 6 0 2 2 50.00 66.67 2014-09-25
52 BREVAN HOWARD (HONG KONG) LIMITED 4 5 9 3 2 5 -1 -3 -4 55.56 40.00 2008-03-12 2018-05-11
53 CHEONG LEE SECURITIES LIMITED 1 0 1 2 3 5 1 3 4 0.00 60.00 2009-08-27
54 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 4 1 5 2 -1 1 50.00 20.00 2020-06-02
55 ICBC Asset Management (Global) Company Limited 3 6 9 1 4 5 -2 -2 -4 66.67 80.00
56 RG ASSET MANAGEMENT COMPANY LIMITED 4 2 6 4 1 5 0 -1 -1 33.33 20.00 2013-11-25
57 SG SECURITIES (HK) LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2010-11-16
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 2 5 3 2 5 0 0 0 40.00 40.00
61 WFM Asia (HK) Limited 3 3 6 3 2 5 0 -1 -1 50.00 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 AKTIS CAPITAL ADVISORY LIMITED 4 0 4 3 1 4 -1 1 0 0.00 25.00 2003-11-29
64 AlTi Wealth Management (Hong Kong) Limited 2 4 6 2 2 4 0 -2 -2 66.67 50.00 2004-05-11
65 AP Asset Management (HK) Limited 2 0 2 4 0 4 2 0 2 0.00 0.00 2004-08-26 2013-12-04
66 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
67 CAPE ASSET MANAGEMENT LIMITED 3 3 6 3 1 4 0 -2 -2 50.00 25.00 2006-05-23 2024-03-13
68 CLSA FUTURES LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2016-06-02
69 Credit Suisse (Hong Kong) Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2008-11-04 2024-09-27
70 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 3 1 4 1 -1 0 50.00 25.00
71 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-03-08 2022-03-16
72 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
73 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
74 FIRST SHANGHAI FUTURES LIMITED 1 2 3 2 2 4 1 0 1 66.67 50.00
75 FT Securities Limited 2 50 52 3 1 4 1 -49 -48 96.15 25.00 2005-09-22 2012-07-13
76 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2010-11-26
77 HGNH International Futures Co., Limited 0 0 0 4 0 4 4 0 4 - 0.00 2010-11-01
78 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
79 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
80 RC Futures Advisory Limited 2 3 5 3 1 4 1 -2 -1 60.00 25.00 2010-05-19
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 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-05-07
85 BOCOM International Securities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2007-09-10
86 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2011-02-15
87 CES Capital International (Hong Kong) Co., Limited 2 2 4 3 0 3 1 -2 -1 50.00 0.00 2009-05-29 2023-02-23
88 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
89 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
90 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-03-21
91 GAM HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-06-19
92 GENERALI INVESTMENTS ASIA LIMITED 2 3 5 2 1 3 0 -2 -2 60.00 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 1 4 3 0 3 0 -1 -1 25.00 0.00 2010-03-01 2016-05-05
95 PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 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 VALUE PARTNERS HONG KONG LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2007-11-19
98 VALUE PARTNERS LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
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 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
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 CNCB (Hong Kong) Capital Limited 2 0 2 1 1 2 -1 1 0 0.00 50.00 2015-08-20
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 1 0 1 1 1 2 0 1 1 0.00 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) 2 0 2 2 0 2 0 0 0 0.00 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 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2012-07-10
125 TRADING CENTRAL ASIA LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2011-03-08
126 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
127 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
128 Zhonghao International Futures Co., Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-03-10 2013-08-02
129 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
130 YUE XIU FUTURES COMPANY LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2024-07-30
131 BNP PARIBAS DEALING SERVICES ASIA LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 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 25 28 0 0 0 -3 -25 -28 89.29 - 2011-03-23
134 HAI TONG SECURITIES (HK) BROKERAGE LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2007-12-18 2011-02-23
135 JPMorgan Asset Management (Japan) Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-07-15
136 MUSHK Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-06-01
137 PEACE TOWN FUND MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2011-10-20
138 PEACE TOWN FUTURES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2012-09-27
139 RAB CAPITAL (ASIA) LIMITED 2 5 7 0 0 0 -2 -5 -7 71.43 - 2007-09-28 2010-11-22
140 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2011-01-18
Average 2.69 5.08 7.78 2.72 5.00 7.72 65.38 64.81

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