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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2010-09-30 2011-09-30 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 71 78 9 81 90 2 10 12 91.03 90.00 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 40 44 4 71 75 0 31 31 90.91 94.67 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 2 51 53 1 53 54 -1 2 1 96.23 98.15
4 JPMorgan Asset Management (Asia Pacific) Limited 3 34 37 4 37 41 1 3 4 91.89 90.24
5 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 16 21 5 17 22 0 1 1 76.19 77.27
6 Fidelity Management & Research (Hong Kong) Limited 3 13 16 3 19 22 0 6 6 81.25 86.36 2008-09-04 2013-12-19
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 4 15 19 5 16 21 1 1 2 78.95 76.19
8 HSBC Global Asset Management (Hong Kong) Limited 5 16 21 4 15 19 -1 -1 -2 76.19 78.95
9 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 12 16 4 14 18 0 2 2 75.00 77.78
10 Manulife Investment Management (Hong Kong) Limited 2 8 10 3 14 17 1 6 7 80.00 82.35
11 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 11 15 3 13 16 -1 2 1 73.33 81.25
12 CHARLES SCHWAB, HONG KONG, LIMITED 4 9 13 4 12 16 0 3 3 69.23 75.00 2016-08-31
13 GOLDMAN SACHS (ASIA) L.L.C. 3 4 7 3 12 15 0 8 8 57.14 80.00
14 Morgan Stanley Asia Limited 4 12 16 3 12 15 -1 0 -1 75.00 80.00 2006-04-07
15 Ark Futures (Hong Kong) Limited 4 6 10 4 10 14 0 4 4 60.00 71.43 2006-02-07
16 GET NICE FUTURES COMPANY LIMITED 2 12 14 2 12 14 0 0 0 85.71 85.71
17 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 5 10 15 4 10 14 -1 0 -1 66.67 71.43
18 GOLDMAN SACHS FUTURES (ASIA) LIMITED 3 4 7 2 11 13 -1 7 6 57.14 84.62 2016-10-10
19 HAITONG INTERNATIONAL FUTURES LIMITED 5 10 15 5 8 13 0 -2 -2 66.67 61.54
20 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 4 4 8 3 9 12 -1 5 4 50.00 75.00 2008-07-03
21 OCP Asia (Hong Kong) Limited 3 7 10 3 9 12 0 2 2 70.00 75.00 2004-09-03 2022-06-13
22 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 8 10 2 9 11 0 1 1 80.00 81.82
23 HAMON ASSET MANAGEMENT LIMITED 2 4 6 2 8 10 0 4 4 66.67 80.00
24 MF Global Hong Kong Limited 3 5 8 3 7 10 0 2 2 62.50 70.00 2005-08-26
25 PFP Capital Limited 2 4 6 2 8 10 0 4 4 66.67 80.00
26 CHIEF COMMODITIES LIMITED 3 5 8 3 6 9 0 1 1 62.50 66.67 2006-05-17 2025-08-31
27 HANG SENG FUTURES LIMITED 2 9 11 2 7 9 0 -2 -2 81.82 77.78 2017-11-17
28 HSBC FUTURES (SINGAPORE) PTE LTD 4 8 12 2 7 9 -2 -1 -3 66.67 77.78 2007-04-20 2012-08-08
29 AllianceBernstein Hong Kong Limited 5 5 10 3 5 8 -2 0 -2 50.00 62.50
30 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
31 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 5 8 0 2 2 50.00 62.50 2004-11-17
32 ICBC Asset Management (Global) Company Limited 3 5 8 2 6 8 -1 1 0 62.50 75.00
33 OLD PEAK LIMITED (HK) 4 4 8 4 4 8 0 0 0 50.00 50.00 2005-08-26 2023-06-20
34 BALLINGAL INVESTMENT ADVISORS LIMITED 2 6 8 3 4 7 1 -2 -1 75.00 57.14 2004-08-13
35 BOCI SECURITIES LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57 2005-10-06
36 DEUTSCHE SECURITIES ASIA LIMITED 5 4 9 4 3 7 -1 -1 -2 44.44 42.86 2004-01-08 2020-02-04
37 EMPEROR FUTURES LIMITED 2 0 2 2 5 7 0 5 5 0.00 71.43
38 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
39 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 5 2 7 3 -1 2 60.00 28.57
40 KGI FUTURES (HONG KONG) LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86
41 METRO CAPITAL FUTURES LIMITED 3 5 8 3 4 7 0 -1 -1 62.50 57.14 2014-11-26
42 Oasis Management (Hong Kong) 3 3 6 3 4 7 0 1 1 50.00 57.14 2004-09-14
43 WINNINGTON CAPITAL LIMITED 3 2 5 3 4 7 0 2 2 40.00 57.14
44 AD Capital Management (Hong Kong) Limited 2 6 8 2 4 6 0 -2 -2 75.00 66.67 2004-09-08
45 AXA Investment Managers Asia Limited 3 6 9 1 5 6 -2 -1 -3 66.67 83.33 2015-06-15
46 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 5 8 1 5 6 -2 0 -2 62.50 83.33 2015-06-15
47 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 4 6 10 3 3 6 -1 -3 -4 60.00 50.00 2018-12-31
48 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00 2018-09-21
49 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67
50 HGNH International Futures Co., Limited 0 0 0 6 0 6 6 0 6 - 0.00 2010-11-01
51 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 5 1 6 3 -1 2 50.00 16.67 2020-06-02
52 NATIXIS ASIA LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67 2008-08-05
53 Pyramis Global Advisors (Hong Kong) Limited 3 0 3 3 3 6 0 3 3 0.00 50.00 2008-07-29 2013-11-15
54 BREVAN HOWARD (HONG KONG) LIMITED 4 3 7 3 2 5 -1 -1 -2 42.86 40.00 2008-03-12 2018-05-11
55 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 3 2 5 1 0 1 50.00 40.00
56 FT Securities Limited 2 49 51 3 2 5 1 -47 -46 96.08 40.00 2005-09-22 2012-07-13
57 SG SECURITIES (HK) LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2010-11-16
58 SINOPAC FUTURES (ASIA) LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2014-09-25
59 Standard Advisory Asia Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2007-03-09 2013-04-12
60 Tyric Capital Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2003-11-13
61 UPBEST COMMODITIES COMPANY LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
62 WFM Asia (HK) Limited 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2013-11-05
63 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2015-02-09
64 AKTIS CAPITAL ADVISORY LIMITED 4 0 4 3 1 4 -1 1 0 0.00 25.00 2003-11-29
65 AlTi Wealth Management (Hong Kong) Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2004-05-11
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 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
69 CHEONG LEE SECURITIES LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00 2009-08-27
70 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2011-04-26
71 CLSA FUTURES LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2016-06-02
72 Credit Suisse (Hong Kong) Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2008-11-04 2024-09-27
73 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-03-08 2022-03-16
74 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
75 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
76 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
77 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2010-11-26
78 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
79 MIZUHO SECURITIES ASIA LIMITED 3 1 4 4 0 4 1 -1 0 25.00 0.00 2010-03-01 2016-05-05
80 RC Futures Advisory Limited 2 2 4 3 1 4 1 -1 0 50.00 25.00 2010-05-19
81 RG ASSET MANAGEMENT COMPANY LIMITED 4 2 6 4 0 4 0 -2 -2 33.33 0.00 2013-11-25
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 AP Asset Management (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2004-08-26 2013-12-04
86 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 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 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
90 CNCB (Hong Kong) Capital Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2015-08-20
91 Funderstone Asset Management (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-11-14
92 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
93 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-03-21
94 GAM HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-06-19
95 GENERALI INVESTMENTS ASIA LIMITED 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2007-12-28 2018-09-26
96 iVenture Investment Management Limited 2 0 2 2 1 3 0 1 1 0.00 33.33
97 PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2008-05-29 2014-04-17
98 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
99 VALUE PARTNERS HONG KONG LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2007-11-19
100 VALUE PARTNERS LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
101 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
102 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
103 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
104 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
105 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
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 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
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) 2 0 2 2 0 2 0 0 0 0.00 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 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2012-07-10
124 TRADING CENTRAL ASIA LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2011-03-08
125 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
126 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
127 Zhonghao International Futures Co., Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-03-10 2013-08-02
128 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
129 YUE XIU FUTURES COMPANY LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2024-07-30
130 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2011-01-07
131 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 3 26 29 0 0 0 -3 -26 -29 89.66 - 2011-03-23
132 HAI TONG SECURITIES (HK) BROKERAGE LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2007-12-18 2011-02-23
133 JPMorgan Asset Management (Japan) Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-07-15
134 MUSHK Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-06-01
135 PEACE TOWN FUND MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2011-10-20
136 RAB CAPITAL (ASIA) LIMITED 3 5 8 0 0 0 -3 -5 -8 62.50 - 2007-09-28 2010-11-22
137 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 8 10 0 0 0 -2 -8 -10 80.00 - 2012-01-12
138 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2011-01-18
Average 2.71 5.02 7.73 2.74 5.09 7.82 64.91 65.01

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