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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2011-04-30 2012-04-30 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 6 73 79 11 82 93 5 9 14 92.41 88.17 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 73 77 3 70 73 -1 -3 -4 94.81 95.89 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 2 53 55 3 54 57 1 1 2 96.36 94.74
4 JPMorgan Asset Management (Asia Pacific) Limited 4 36 40 4 36 40 0 0 0 90.00 90.00
5 Fidelity Management & Research (Hong Kong) Limited 3 14 17 3 19 22 0 5 5 82.35 86.36 2008-09-04 2013-12-19
6 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 15 20 5 17 22 0 2 2 75.00 77.27
7 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 15 20 5 16 21 0 1 1 75.00 76.19
8 BARING ASSET MANAGEMENT (ASIA) LIMITED 3 12 15 4 16 20 1 4 5 80.00 80.00
9 HSBC Global Asset Management (Hong Kong) Limited 6 16 22 7 11 18 1 -5 -4 72.73 61.11
10 Manulife Investment Management (Hong Kong) Limited 2 13 15 3 15 18 1 2 3 86.67 83.33
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 11 15 4 11 15 0 0 0 73.33 73.33 2016-08-31
13 GOLDMAN SACHS (ASIA) L.L.C. 2 3 5 3 12 15 1 9 10 60.00 80.00
14 Morgan Stanley Asia Limited 4 9 13 6 9 15 2 0 2 69.23 60.00 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 3 10 13 -1 0 -1 71.43 76.92
17 Ark Futures (Hong Kong) Limited 4 9 13 4 8 12 0 -1 -1 69.23 66.67 2006-02-07
18 GOLDMAN SACHS FUTURES (ASIA) LIMITED 3 2 5 5 7 12 2 5 7 40.00 58.33 2016-10-10
19 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 10 13 2 10 12 -1 0 -1 76.92 83.33 2008-07-03
20 OCP Asia (Hong Kong) Limited 3 8 11 3 9 12 0 1 1 72.73 75.00 2004-09-03 2022-06-13
21 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 6 8 2 9 11 0 3 3 75.00 81.82
22 ICBC Asset Management (Global) Company Limited 2 5 7 2 9 11 0 4 4 71.43 81.82
23 BOCI COMMODITIES & FUTURES LIMITED 5 4 9 4 5 9 -1 1 0 44.44 55.56 2004-11-17
24 CHIEF COMMODITIES LIMITED 3 6 9 3 6 9 0 0 0 66.67 66.67 2006-05-17 2025-08-31
25 EMPEROR FUTURES LIMITED 2 3 5 2 7 9 0 4 4 60.00 77.78
26 HAITONG INTERNATIONAL FUTURES LIMITED 5 9 14 5 4 9 0 -5 -5 64.29 44.44
27 HANG SENG FUTURES LIMITED 2 9 11 2 7 9 0 -2 -2 81.82 77.78 2017-11-17
28 Pyramis Global Advisors (Hong Kong) Limited 3 1 4 2 7 9 -1 6 5 25.00 77.78 2008-07-29 2013-11-15
29 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
30 BALLINGAL INVESTMENT ADVISORS LIMITED 2 5 7 3 5 8 1 0 1 71.43 62.50 2004-08-13
31 DEUTSCHE SECURITIES ASIA LIMITED 4 4 8 3 5 8 -1 1 0 50.00 62.50 2004-01-08 2020-02-04
32 HAMON ASSET MANAGEMENT LIMITED 2 4 6 2 6 8 0 2 2 66.67 75.00
33 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 2 3 5 6 2 8 4 -1 3 60.00 25.00
34 KGI FUTURES (HONG KONG) LIMITED 4 4 8 6 2 8 2 -2 0 50.00 25.00
35 PFP Capital Limited 2 4 6 2 6 8 0 2 2 66.67 75.00
36 SG SECURITIES (HK) LIMITED 2 4 6 3 5 8 1 1 2 66.67 62.50 2010-11-16
37 BOCI SECURITIES LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57 2005-10-06
38 HSBC Global Asset Management Holdings (Bahamas) Limited 2 2 4 6 1 7 4 -1 3 50.00 14.29 2020-06-02
39 METRO CAPITAL FUTURES LIMITED 3 5 8 3 4 7 0 -1 -1 62.50 57.14 2014-11-26
40 NATIXIS ASIA LIMITED 2 3 5 2 5 7 0 2 2 60.00 71.43 2008-08-05
41 OLD PEAK LIMITED (HK) 4 4 8 4 3 7 0 -1 -1 50.00 42.86 2005-08-26 2023-06-20
42 WINNINGTON CAPITAL LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14
43 AllianceBernstein Hong Kong Limited 3 6 9 3 3 6 0 -3 -3 66.67 50.00
44 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 4 5 9 3 3 6 -1 -2 -3 55.56 50.00 2018-12-31
45 BREVAN HOWARD (HONG KONG) LIMITED 3 2 5 3 3 6 0 1 1 40.00 50.00 2008-03-12 2018-05-11
46 CHEONG LEE SECURITIES LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67 2009-08-27
47 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67
48 AXA Investment Managers Asia Limited 2 6 8 2 3 5 0 -3 -3 75.00 60.00 2015-06-15
49 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 5 7 2 3 5 0 -2 -2 71.43 60.00 2015-06-15
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 2 0 2 4 1 5 2 1 3 0.00 20.00 2011-04-26
52 CNCB (Hong Kong) Capital Limited 0 0 0 3 2 5 3 2 5 - 40.00 2015-08-20
53 DELTA ASIA FINANCIAL FUTURES LIMITED 3 1 4 2 3 5 -1 2 1 25.00 60.00
54 Oasis Management (Hong Kong) 3 5 8 2 3 5 -1 -2 -3 62.50 60.00 2004-09-14
55 SINOPAC FUTURES (ASIA) LIMITED 2 4 6 3 2 5 1 -2 -1 66.67 40.00 2014-09-25
56 UPBEST COMMODITIES COMPANY LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
57 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
58 AD Capital Management (Hong Kong) Limited 2 6 8 2 2 4 0 -4 -4 75.00 50.00 2004-09-08
59 ADMIS Hong Kong Limited 2 1 3 3 1 4 1 0 1 33.33 25.00
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 CLSA FUTURES LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00 2016-06-02
66 Credit Suisse (Hong Kong) Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2008-11-04 2024-09-27
67 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
68 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
69 FIRST SHANGHAI FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
70 Guosen Securities (HK) Brokerage Company, Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2011-03-14
71 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2010-11-26
72 HGNH International Futures Co., Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2010-11-01
73 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
74 RC Futures Advisory Limited 3 1 4 3 1 4 0 0 0 25.00 25.00 2010-05-19
75 Standard Advisory Asia Limited 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2007-03-09 2013-04-12
76 Tyric Capital Limited 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2003-11-13
77 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2015-02-09
78 AP Asset Management (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2004-08-26 2013-12-04
79 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
80 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2005-03-08 2022-03-16
81 FT Securities Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2005-09-22 2012-07-13
82 Funderstone Asset Management (HK) Limited 1 0 1 3 0 3 2 0 2 0.00 0.00 2013-11-14
83 Funderstone Futures Limited 1 1 2 2 1 3 1 0 1 50.00 33.33
84 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-03-21
85 GAM HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-06-19
86 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-12-28 2018-09-26
87 GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2011-10-28 2014-10-31
88 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
89 LIM ADVISORS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2021-02-17
90 MFG Limited (HK) 2 0 2 3 0 3 1 0 1 0.00 0.00 2010-05-24
91 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
92 RG ASSET MANAGEMENT COMPANY LIMITED 4 2 6 3 0 3 -1 -2 -3 33.33 0.00 2013-11-25
93 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
94 SHACOM FUTURES LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00
95 VALUE PARTNERS HONG KONG LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2007-11-19
96 VALUE PARTNERS LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
97 WFM Asia (HK) Limited 3 2 5 2 1 3 -1 -1 -2 40.00 33.33 2013-11-05
98 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2016-04-19
99 YUE XIU FUTURES COMPANY LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33 2024-07-30
100 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
101 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00
102 AKTIS CAPITAL ADVISORY LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2003-11-29
103 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2014-05-07
104 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
105 BGC SECURITIES (HONG KONG) LLC 0 0 0 2 0 2 2 0 2 - 0.00 2011-10-19 2013-01-07
106 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
107 BOCOM International Securities Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2007-09-10
108 Changjiang Futures (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-02-13 2024-10-25
109 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
110 FULBRIGHT FUTURES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-03-20
111 GUOYUAN FUTURES (HONG KONG) LIMITED 1 1 2 1 1 2 0 0 0 50.00 50.00 2008-03-05
112 HGNH International Financial Corporation Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-12-09 2016-01-27
113 IMPAC ASSET MANAGEMENT (HK) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2017-01-03
114 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
115 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
116 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02 2012-12-14
117 MAGUSTA FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-02-26
118 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
119 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-25
120 MIZUHO SECURITIES ASIA LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-03-01 2016-05-05
121 Ping An Securities (Hong Kong) Futures Company Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-03-30
122 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
123 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
124 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-10-30 2015-04-22
125 SDHG International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
126 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
127 TRADING CENTRAL ASIA LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2011-03-08
128 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
129 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
130 YUANTA FUTURES (HK) CO., LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-02-24
131 Zhonghao International Futures Co., Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-10 2013-08-02
132 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2012-06-25
133 Halbis Capital Management (Hong Kong) Limited 3 4 7 0 0 0 -3 -4 -7 57.14 - 2005-06-23 2012-05-11
134 HSBC FUTURES (SINGAPORE) PTE LTD 4 7 11 0 0 0 -4 -7 -11 63.64 - 2007-04-20 2012-08-08
135 MF Global Hong Kong Limited 2 7 9 0 0 0 -2 -7 -9 77.78 - 2005-08-26
136 PEACE TOWN FUND MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2011-10-20
137 SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED 2 8 10 0 0 0 -2 -8 -10 80.00 - 2012-01-12
138 SKY WARD GLOBAL MANAGEMENT LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2012-07-10
Average 2.65 4.81 7.45 2.79 4.79 7.59 64.50 63.18

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