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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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:

Some data are hidden to fit your display. Rotate?

2010-11-30 2011-11-30 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 68 75 10 82 92 3 14 17 90.67 89.13 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 71 75 3 71 74 -1 0 -1 94.67 95.95 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 2 55 57 2 53 55 0 -2 -2 96.49 96.36
4 JPMorgan Asset Management (Asia Pacific) Limited 3 35 38 4 36 40 1 1 2 92.11 90.00
5 Fidelity Management & Research (Hong Kong) Limited 3 13 16 3 20 23 0 7 7 81.25 86.96 2008-09-04 2013-12-19
6 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 16 21 5 17 22 0 1 1 76.19 77.27
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 6 15 21 5 14 19 -1 -1 -2 71.43 73.68
9 Manulife Investment Management (Hong Kong) Limited 2 9 11 3 15 18 1 6 7 81.82 83.33
10 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 12 16 3 14 17 -1 2 1 75.00 82.35
11 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 13 17 4 13 17 0 0 0 76.47 76.47
12 CHARLES SCHWAB, HONG KONG, LIMITED 4 9 13 4 12 16 0 3 3 69.23 75.00 2016-08-31
13 Morgan Stanley Asia Limited 4 12 16 6 10 16 2 -2 0 75.00 62.50 2006-04-07
14 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 4 10 14 4 11 15 0 1 1 71.43 73.33
15 GET NICE FUTURES COMPANY LIMITED 2 12 14 2 12 14 0 0 0 85.71 85.71
16 GOLDMAN SACHS (ASIA) L.L.C. 3 3 6 3 11 14 0 8 8 50.00 78.57
17 Ark Futures (Hong Kong) Limited 4 6 10 4 9 13 0 3 3 60.00 69.23 2006-02-07
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 ASSET MANAGEMENT (HK) LIMITED 3 6 9 3 10 13 0 4 4 66.67 76.92 2008-07-03
20 HAITONG INTERNATIONAL FUTURES LIMITED 5 9 14 5 7 12 0 -2 -2 64.29 58.33
21 HSBC FUTURES (SINGAPORE) PTE LTD 4 7 11 2 10 12 -2 3 1 63.64 83.33 2007-04-20 2012-08-08
22 OCP Asia (Hong Kong) Limited 3 7 10 3 9 12 0 2 2 70.00 75.00 2004-09-03 2022-06-13
23 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 7 9 2 9 11 0 2 2 77.78 81.82
24 ICBC Asset Management (Global) Company Limited 3 5 8 3 8 11 0 3 3 62.50 72.73
25 HAMON ASSET MANAGEMENT LIMITED 2 4 6 2 8 10 0 4 4 66.67 80.00
26 PFP Capital Limited 2 4 6 2 8 10 0 4 4 66.67 80.00
27 Pyramis Global Advisors (Hong Kong) Limited 3 0 3 3 7 10 0 7 7 0.00 70.00 2008-07-29 2013-11-15
28 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 3 6 9 0 3 3 50.00 66.67 2004-11-17
29 CHIEF COMMODITIES LIMITED 3 5 8 3 6 9 0 1 1 62.50 66.67 2006-05-17 2025-08-31
30 HANG SENG FUTURES LIMITED 2 9 11 2 7 9 0 -2 -2 81.82 77.78 2017-11-17
31 AllianceBernstein Hong Kong Limited 6 5 11 2 6 8 -4 1 -3 45.45 75.00
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 BALLINGAL INVESTMENT ADVISORS LIMITED 2 6 8 3 5 8 1 -1 0 75.00 62.50 2004-08-13
34 EMPEROR FUTURES LIMITED 2 0 2 2 6 8 0 6 6 0.00 75.00
35 Halbis Capital Management (Hong Kong) Limited 3 3 6 6 2 8 3 -1 2 50.00 25.00 2005-06-23 2012-05-11
36 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 6 2 8 4 -1 3 60.00 25.00
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 BOCI SECURITIES LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57 2005-10-06
39 DEUTSCHE SECURITIES ASIA LIMITED 6 3 9 4 3 7 -2 0 -2 33.33 42.86 2004-01-08 2020-02-04
40 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 6 1 7 4 -1 3 50.00 14.29 2020-06-02
41 KGI FUTURES (HONG KONG) LIMITED 4 3 7 3 4 7 -1 1 0 42.86 57.14
42 METRO CAPITAL FUTURES LIMITED 3 5 8 3 4 7 0 -1 -1 62.50 57.14 2014-11-26
43 Oasis Management (Hong Kong) 3 3 6 3 4 7 0 1 1 50.00 57.14 2004-09-14
44 WINNINGTON CAPITAL LIMITED 3 2 5 3 4 7 0 2 2 40.00 57.14
45 AD Capital Management (Hong Kong) Limited 2 6 8 2 4 6 0 -2 -2 75.00 66.67 2004-09-08
46 AXA Investment Managers Asia Limited 3 6 9 1 5 6 -2 -1 -3 66.67 83.33 2015-06-15
47 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 3 5 8 1 5 6 -2 0 -2 62.50 83.33 2015-06-15
48 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 4 5 9 3 3 6 -1 -2 -3 55.56 50.00 2018-12-31
49 BREVAN HOWARD (HONG KONG) LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2008-03-12 2018-05-11
50 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67
51 HGNH International Futures Co., Limited 3 0 3 6 0 6 3 0 3 0.00 0.00 2010-11-01
52 NATIXIS ASIA LIMITED 2 2 4 2 4 6 0 2 2 50.00 66.67 2008-08-05
53 SG SECURITIES (HK) LIMITED 2 0 2 3 3 6 1 3 4 0.00 50.00 2010-11-16
54 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2018-09-21
55 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 0 0 0 3 2 5 3 2 5 - 40.00 2011-04-26
56 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
57 FT Securities Limited 2 8 10 3 2 5 1 -6 -5 80.00 40.00 2005-09-22 2012-07-13
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 2 5 3 2 5 0 0 0 40.00 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 AlTi Wealth Management (Hong Kong) Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2004-05-11
65 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
66 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2011-02-15
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 3 5 2 2 4 0 -1 -1 60.00 50.00 2009-08-27
70 CLSA FUTURES LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2016-06-02
71 Credit Suisse (Hong Kong) Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2008-11-04 2024-09-27
72 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2005-03-08 2022-03-16
73 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
74 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
75 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00
76 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00 2010-11-26
77 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
78 MIZUHO SECURITIES ASIA LIMITED 4 0 4 4 0 4 0 0 0 0.00 0.00 2010-03-01 2016-05-05
79 RC Futures Advisory Limited 2 2 4 3 1 4 1 -1 0 50.00 25.00 2010-05-19
80 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2016-04-19
81 Yuanta Asia Investment (Hong Kong) Limited 2 1 3 3 1 4 1 0 1 33.33 25.00 2003-08-13 2013-11-01
82 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
83 AKTIS CAPITAL ADVISORY LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2003-11-29
84 AP Asset Management (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2004-08-26 2013-12-04
85 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-05-07
86 BOCOM International Securities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2007-09-10
87 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
88 CNCB (Hong Kong) Capital Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2015-08-20
89 Funderstone Asset Management (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-11-14
90 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
91 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2024-03-21
92 GAM HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-06-19
93 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-12-28 2018-09-26
94 iVenture Investment Management Limited 2 0 2 2 1 3 0 1 1 0.00 33.33
95 PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2008-05-29 2014-04-17
96 RG ASSET MANAGEMENT COMPANY LIMITED 4 2 6 3 0 3 -1 -2 -3 33.33 0.00 2013-11-25
97 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
98 VALUE PARTNERS HONG KONG LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2007-11-19
99 VALUE PARTNERS LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
100 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
101 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2012-06-25
102 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
103 BGC SECURITIES (HONG KONG) LLC 0 0 0 2 0 2 2 0 2 - 0.00 2011-10-19 2013-01-07
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) ASSET MANAGEMENT COMPANY LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2011-10-28 2014-10-31
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 MF Global Hong Kong Limited 3 5 8 0 2 2 -3 -3 -6 62.50 100.00 2005-08-26
117 MFG Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-05-24
118 MIB FUTURES (HONG KONG) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2011-03-25
119 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
120 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
121 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-10-30 2015-04-22
122 SDHG International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
123 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
124 SHACOM FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
125 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2012-07-10
126 TRADING CENTRAL ASIA LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2011-03-08
127 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
128 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
129 YUE XIU FUTURES COMPANY LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2024-07-30
130 Zhonghao International Futures Co., Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-03-10 2013-08-02
131 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00
132 CINDA INTERNATIONAL ASSET MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2011-01-07
133 CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED 3 28 31 0 0 0 -3 -28 -31 90.32 - 2011-03-23
134 HAI TONG SECURITIES (HK) BROKERAGE LIMITED 1 0 1 0 0 0 -1 0 -1 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 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 8 10 0 0 0 -2 -8 -10 80.00 - 2012-01-12
139 SOFAER GLOBAL RESEARCH (HK) LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2011-01-18
Average 2.68 4.78 7.46 2.76 5.07 7.83 64.07 64.72

Sign up for our free newsletter

Recommend Webb-site to a friend

Copyright & disclaimer, Privacy policy

Back to top