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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2011-02-28 2012-02-29 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 6 69 75 9 86 95 3 17 20 92.00 90.53 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 73 77 3 71 74 -1 -2 -3 94.81 95.95 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 2 55 57 3 56 59 1 1 2 96.49 94.92
4 JPMorgan Asset Management (Asia Pacific) Limited 3 36 39 4 36 40 1 0 1 92.31 90.00
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 5 15 20 5 15 20 0 0 0 75.00 75.00
8 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 12 16 3 15 18 -1 3 2 75.00 83.33
9 HSBC Global Asset Management (Hong Kong) Limited 6 16 22 5 13 18 -1 -3 -4 72.73 72.22
10 Manulife Investment Management (Hong Kong) Limited 2 13 15 3 15 18 1 2 3 86.67 83.33
11 CHARLES SCHWAB, HONG KONG, LIMITED 4 9 13 4 12 16 0 3 3 69.23 75.00 2016-08-31
12 Morgan Stanley Asia Limited 4 11 15 6 10 16 2 -1 1 73.33 62.50 2006-04-07
13 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 13 17 4 12 16 0 -1 -1 76.47 75.00
14 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 4 6 10 4 11 15 0 5 5 60.00 73.33
15 GET NICE FUTURES COMPANY LIMITED 2 12 14 2 12 14 0 0 0 85.71 85.71
16 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 5 8 3 11 14 0 6 6 62.50 78.57 2008-07-03
17 GOLDMAN SACHS (ASIA) L.L.C. 2 3 5 3 10 13 1 7 8 60.00 76.92
18 Ark Futures (Hong Kong) Limited 4 8 12 4 8 12 0 0 0 66.67 66.67 2006-02-07
19 GOLDMAN SACHS FUTURES (ASIA) LIMITED 3 2 5 4 8 12 1 6 7 40.00 66.67 2016-10-10
20 HAITONG INTERNATIONAL FUTURES LIMITED 5 10 15 5 7 12 0 -3 -3 66.67 58.33
21 OCP Asia (Hong Kong) Limited 3 8 11 3 9 12 0 1 1 72.73 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 ICBC Asset Management (Global) Company Limited 2 5 7 2 9 11 0 4 4 71.43 81.82
24 HSBC FUTURES (SINGAPORE) PTE LTD 4 7 11 3 7 10 -1 0 -1 63.64 70.00 2007-04-20 2012-08-08
25 Pyramis Global Advisors (Hong Kong) Limited 3 1 4 3 7 10 0 6 6 25.00 70.00 2008-07-29 2013-11-15
26 BOCI COMMODITIES & FUTURES LIMITED 3 3 6 4 5 9 1 2 3 50.00 55.56 2004-11-17
27 CHIEF COMMODITIES LIMITED 3 6 9 3 6 9 0 0 0 66.67 66.67 2006-05-17 2025-08-31
28 HAMON ASSET MANAGEMENT LIMITED 2 3 5 2 7 9 0 4 4 60.00 77.78
29 HANG SENG FUTURES LIMITED 2 9 11 2 7 9 0 -2 -2 81.82 77.78 2017-11-17
30 KGI FUTURES (HONG KONG) LIMITED 4 4 8 6 3 9 2 -1 1 50.00 33.33
31 PFP Capital Limited 2 3 5 2 7 9 0 4 4 60.00 77.78
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 5 7 3 5 8 1 0 1 71.43 62.50 2004-08-13
34 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 6 2 8 4 -1 3 60.00 25.00
35 AXA Investment Managers Asia Limited 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2015-06-15
36 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2015-06-15
37 BOCI SECURITIES LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57 2005-10-06
38 DEUTSCHE SECURITIES ASIA LIMITED 5 3 8 4 3 7 -1 0 -1 37.50 42.86 2004-01-08 2020-02-04
39 EMPEROR FUTURES LIMITED 2 1 3 2 5 7 0 4 4 33.33 71.43
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 METRO CAPITAL FUTURES LIMITED 3 5 8 3 4 7 0 -1 -1 62.50 57.14 2014-11-26
42 NATIXIS ASIA LIMITED 2 3 5 2 5 7 0 2 2 60.00 71.43 2008-08-05
43 OLD PEAK LIMITED (HK) 4 4 8 4 3 7 0 -1 -1 50.00 42.86 2005-08-26 2023-06-20
44 WINNINGTON CAPITAL LIMITED 3 2 5 3 4 7 0 2 2 40.00 57.14
45 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 4 5 9 3 3 6 -1 -2 -3 55.56 50.00 2018-12-31
46 BREVAN HOWARD (HONG KONG) LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2008-03-12 2018-05-11
47 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67
48 SINOPAC FUTURES (ASIA) LIMITED 2 5 7 3 3 6 1 -2 -1 71.43 50.00 2014-09-25
49 AllianceBernstein Hong Kong Limited 4 6 10 3 2 5 -1 -4 -5 60.00 40.00
50 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2018-09-21
51 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 0 0 0 4 1 5 4 1 5 - 20.00 2011-04-26
52 DELTA ASIA FINANCIAL FUTURES LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00
53 HGNH International Futures Co., Limited 4 0 4 5 0 5 1 0 1 0.00 0.00 2010-11-01
54 Oasis Management (Hong Kong) 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2004-09-14
55 SG SECURITIES (HK) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-16
56 UPBEST COMMODITIES COMPANY LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
57 WFM Asia (HK) Limited 3 2 5 3 2 5 0 0 0 40.00 40.00 2013-11-05
58 Yuanta Asia Investment (Hong Kong) Limited 2 1 3 3 2 5 1 1 2 33.33 40.00 2003-08-13 2013-11-01
59 AD Capital Management (Hong Kong) Limited 2 6 8 2 2 4 0 -4 -4 75.00 50.00 2004-09-08
60 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
61 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
62 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00 2011-02-15
63 CAPE ASSET MANAGEMENT LIMITED 3 3 6 3 1 4 0 -2 -2 50.00 25.00 2006-05-23 2024-03-13
64 CES Capital International (Hong Kong) Co., Limited 3 1 4 3 1 4 0 0 0 25.00 25.00 2009-05-29 2023-02-23
65 CHEONG LEE SECURITIES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2009-08-27
66 CLSA FUTURES LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2016-06-02
67 CNCB (Hong Kong) Capital Limited 0 0 0 3 1 4 3 1 4 - 25.00 2015-08-20
68 Credit Suisse (Hong Kong) Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2008-11-04 2024-09-27
69 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
70 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 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 1 3 2 2 4 0 1 1 33.33 50.00 2005-09-22 2012-07-13
73 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2010-11-26
74 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
75 RC Futures Advisory Limited 2 2 4 3 1 4 1 -1 0 50.00 25.00 2010-05-19
76 Standard Advisory Asia Limited 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2007-03-09 2013-04-12
77 Tyric Capital Limited 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2003-11-13
78 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2015-02-09
79 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2016-04-19
80 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
81 AP Asset Management (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2004-08-26 2013-12-04
82 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2014-05-07
83 BOCOM International Securities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2007-09-10
84 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
85 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2005-03-08 2022-03-16
86 Funderstone Asset Management (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-11-14
87 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
88 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2024-03-21
89 GAM HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-06-19
90 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-12-28 2018-09-26
91 Guosen Securities (HK) Brokerage Company, Limited 0 0 0 2 1 3 2 1 3 - 33.33 2011-03-14
92 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
93 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
94 RG ASSET MANAGEMENT COMPANY LIMITED 4 2 6 3 0 3 -1 -2 -3 33.33 0.00 2013-11-25
95 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
96 VALUE PARTNERS HONG KONG LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2007-11-19
97 VALUE PARTNERS LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
98 YUE XIU FUTURES COMPANY LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33 2024-07-30
99 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
100 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00
101 AKTIS CAPITAL ADVISORY LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2003-11-29
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 Changjiang Futures (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-02-13 2024-10-25
106 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
107 GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2011-10-28 2014-10-31
108 GUOYUAN FUTURES (HONG KONG) LIMITED 1 0 1 1 1 2 0 1 1 0.00 50.00 2008-03-05
109 HGNH International Financial Corporation Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-12-09 2016-01-27
110 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
111 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
112 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
113 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02 2012-12-14
114 LIM ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2021-02-17
115 MAGUSTA FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-02-26
116 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
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 MIZUHO SECURITIES ASIA LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-03-01 2016-05-05
120 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
121 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
122 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-10-30 2015-04-22
123 SDHG International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
124 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
125 SHACOM FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
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 YUANTA FUTURES (HK) CO., LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-02-24
130 Zhonghao International Futures Co., Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-03-10 2013-08-02
131 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 0 3 1 0 1 -2 0 -2 0.00 0.00 2012-06-25
132 Halbis Capital Management (Hong Kong) Limited 3 4 7 0 0 0 -3 -4 -7 57.14 - 2005-06-23 2012-05-11
133 JPMorgan Asset Management (Japan) Limited 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-07-15
134 MF Global Hong Kong Limited 2 7 9 0 0 0 -2 -7 -9 77.78 - 2005-08-26
135 PEACE TOWN FUND MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2011-10-20
136 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 8 10 0 0 0 -2 -8 -10 80.00 - 2012-01-12
137 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2012-07-10
Average 2.65 4.82 7.47 2.77 4.93 7.70 64.51 64.02

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