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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2011-05-31 2012-05-31 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 6 74 80 11 83 94 5 9 14 92.50 88.30 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 54 56 3 58 61 1 4 5 96.43 95.08
4 JPMorgan Asset Management (Asia Pacific) Limited 4 36 40 4 37 41 0 1 1 90.00 90.24
5 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 15 20 5 18 23 0 3 3 75.00 78.26
6 Fidelity Management & Research (Hong Kong) Limited 3 14 17 4 18 22 1 4 5 82.35 81.82 2008-09-04 2013-12-19
7 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 16 21 5 16 21 0 0 0 76.19 76.19
8 BARING ASSET MANAGEMENT (ASIA) LIMITED 3 12 15 4 16 20 1 4 5 80.00 80.00
9 Manulife Investment Management (Hong Kong) Limited 2 13 15 3 16 19 1 3 4 86.67 84.21
10 HSBC Global Asset Management (Hong Kong) Limited 5 16 21 7 10 17 2 -6 -4 76.19 58.82
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. 3 3 6 3 12 15 0 9 9 50.00 80.00
14 Morgan Stanley Asia Limited 4 11 15 6 9 15 2 -2 0 73.33 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 OCP Asia (Hong Kong) Limited 3 8 11 3 10 13 0 2 2 72.73 76.92 2004-09-03 2022-06-13
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 LIMITED 4 10 14 3 9 12 -1 -1 -2 71.43 75.00
20 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 10 13 2 9 11 -1 -1 -2 76.92 81.82 2008-07-03
21 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 9 11 2 9 11 0 0 0 81.82 81.82
22 ICBC Asset Management (Global) Company Limited 2 4 6 2 9 11 0 5 5 66.67 81.82
23 BALLINGAL INVESTMENT ADVISORS LIMITED 2 5 7 3 6 9 1 1 2 71.43 66.67 2004-08-13
24 BOCI COMMODITIES & FUTURES LIMITED 5 4 9 3 6 9 -2 2 0 44.44 66.67 2004-11-17
25 CHIEF COMMODITIES LIMITED 3 6 9 3 6 9 0 0 0 66.67 66.67 2006-05-17 2025-08-31
26 EMPEROR FUTURES LIMITED 2 3 5 2 7 9 0 4 4 60.00 77.78
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 DEUTSCHE SECURITIES ASIA LIMITED 4 4 8 3 5 8 -1 1 0 50.00 62.50 2004-01-08 2020-02-04
31 HAITONG INTERNATIONAL FUTURES LIMITED 5 10 15 4 4 8 -1 -6 -7 66.67 50.00
32 HAMON ASSET MANAGEMENT LIMITED 2 5 7 2 6 8 0 1 1 71.43 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 5 7 2 6 8 0 1 1 71.43 75.00
36 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 4 4 8 3 4 7 -1 0 -1 50.00 57.14 2018-12-31
37 BOCI SECURITIES LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57 2005-10-06
38 BREVAN HOWARD (HONG KONG) LIMITED 3 2 5 3 4 7 0 2 2 40.00 57.14 2008-03-12 2018-05-11
39 CHEONG LEE SECURITIES LIMITED 2 3 5 2 5 7 0 2 2 60.00 71.43 2009-08-27
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 NATIXIS ASIA LIMITED 2 3 5 2 5 7 0 2 2 60.00 71.43 2008-08-05
42 OLD PEAK LIMITED (HK) 4 4 8 4 3 7 0 -1 -1 50.00 42.86 2005-08-26 2023-06-20
43 SG SECURITIES (HK) LIMITED 2 4 6 3 4 7 1 0 1 66.67 57.14 2010-11-16
44 WINNINGTON CAPITAL LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14
45 AllianceBernstein Hong Kong Limited 3 6 9 3 3 6 0 -3 -3 66.67 50.00
46 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67
47 METRO CAPITAL FUTURES LIMITED 3 5 8 2 4 6 -1 -1 -2 62.50 66.67 2014-11-26
48 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2018-09-21
49 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 0 2 4 1 5 2 1 3 0.00 20.00 2011-04-26
50 DELTA ASIA FINANCIAL FUTURES LIMITED 3 1 4 2 3 5 -1 2 1 25.00 60.00
51 Oasis Management (Hong Kong) 3 5 8 2 3 5 -1 -2 -3 62.50 60.00 2004-09-14
52 SINOPAC FUTURES (ASIA) LIMITED 2 4 6 3 2 5 1 -2 -1 66.67 40.00 2014-09-25
53 UPBEST COMMODITIES COMPANY LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00
54 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
55 AD Capital Management (Hong Kong) Limited 1 5 6 2 2 4 1 -3 -2 83.33 50.00 2004-09-08
56 ADMIS Hong Kong Limited 2 1 3 3 1 4 1 0 1 33.33 25.00
57 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
58 AXA Investment Managers Asia Limited 2 6 8 2 2 4 0 -4 -4 75.00 50.00 2015-06-15
59 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 5 7 2 2 4 0 -3 -3 71.43 50.00 2015-06-15
60 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
61 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2011-02-15
62 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
63 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
64 CLSA FUTURES LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2016-06-02
65 CNCB (Hong Kong) Capital Limited 1 0 1 1 3 4 0 3 3 0.00 75.00 2015-08-20
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 MFG Limited (HK) 1 0 1 4 0 4 3 0 3 0.00 0.00 2010-05-24
75 RC Futures Advisory Limited 3 1 4 3 1 4 0 0 0 25.00 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 AP Asset Management (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2004-08-26 2013-12-04
80 BOCOM International Securities Limited 3 0 3 2 1 3 -1 1 0 0.00 33.33 2007-09-10
81 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
82 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2005-03-08 2022-03-16
83 FT Securities Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2005-09-22 2012-07-13
84 FULBRIGHT FUTURES LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2012-03-20
85 Funderstone Asset Management (HK) Limited 1 0 1 3 0 3 2 0 2 0.00 0.00 2013-11-14
86 Funderstone Futures Limited 1 1 2 2 1 3 1 0 1 50.00 33.33
87 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-03-21
88 GAM HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-06-19
89 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-12-28 2018-09-26
90 GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2011-10-28 2014-10-31
91 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
92 LIM ADVISORS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2021-02-17
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 SHACOM FUTURES LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00
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 WFM Asia (HK) Limited 3 2 5 2 1 3 -1 -1 -2 40.00 33.33 2013-11-05
100 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2016-04-19
101 YUE XIU FUTURES COMPANY LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33 2024-07-30
102 Zhonghao International Futures Co., Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2011-03-10 2013-08-02
103 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
104 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00
105 AKTIS CAPITAL ADVISORY LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2003-11-29
106 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2014-05-07
107 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
108 BGC SECURITIES (HONG KONG) LLC 0 0 0 2 0 2 2 0 2 - 0.00 2011-10-19 2013-01-07
109 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
110 Changjiang Futures (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-02-13 2024-10-25
111 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
112 GUOYUAN FUTURES (HONG KONG) LIMITED 1 1 2 1 1 2 0 0 0 50.00 50.00 2008-03-05
113 HGNH International Financial Corporation Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-12-09 2016-01-27
114 IMPAC ASSET MANAGEMENT (HK) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2017-01-03
115 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
116 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
117 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02 2012-12-14
118 MAGUSTA FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-02-26
119 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
120 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-25
121 MIZUHO SECURITIES ASIA LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-03-01 2016-05-05
122 Ping An Securities (Hong Kong) Futures Company Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-03-30
123 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
124 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
125 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-10-30 2015-04-22
126 SDHG International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
127 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
128 TRADING CENTRAL ASIA LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2011-03-08
129 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
130 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
131 YUANTA FUTURES (HK) CO., LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-02-24
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 2 4 6 0 0 0 -2 -4 -6 66.67 - 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 9 11 0 0 0 -2 -9 -11 81.82 - 2005-08-26
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 0 2 0 0 0 -2 0 -2 0.00 - 2012-07-10
Average 2.62 4.88 7.51 2.79 4.86 7.65 65.06 63.57

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