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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2011-08-31 2012-08-31 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 9 75 84 10 112 122 1 37 38 89.29 91.80 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 71 75 3 68 71 -1 -3 -4 94.67 95.77 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 1 53 54 3 56 59 2 3 5 98.15 94.92
4 JPMorgan Asset Management (Asia Pacific) Limited 4 37 41 7 35 42 3 -2 1 90.24 83.33
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 18 21 5 17 22 2 -1 1 85.71 77.27 2008-09-04 2013-12-19
7 BARING ASSET MANAGEMENT (ASIA) LIMITED 3 12 15 4 17 21 1 5 6 80.00 80.95
8 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 16 21 5 16 21 0 0 0 76.19 76.19
9 Manulife Investment Management (Hong Kong) Limited 3 12 15 3 16 19 0 4 4 80.00 84.21
10 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 13 17 3 15 18 -1 2 1 76.47 83.33
11 HSBC Global Asset Management (Hong Kong) Limited 3 16 19 7 10 17 4 -6 -2 84.21 58.82
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 12 15 3 12 15 0 0 0 80.00 80.00
14 GET NICE FUTURES COMPANY LIMITED 2 12 14 3 11 14 1 -1 0 85.71 78.57
15 Morgan Stanley Asia Limited 3 12 15 6 8 14 3 -4 -1 80.00 57.14 2006-04-07
16 GOLDMAN SACHS FUTURES (ASIA) LIMITED 2 11 13 5 7 12 3 -4 -1 84.62 58.33 2016-10-10
17 OCP Asia (Hong Kong) Limited 3 9 12 4 8 12 1 -1 0 75.00 66.67 2004-09-03 2022-06-13
18 Ark Futures (Hong Kong) Limited 4 10 14 3 8 11 -1 -2 -3 71.43 72.73 2006-02-07
19 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 4 10 14 3 8 11 -1 -2 -3 71.43 72.73
20 HAITONG INTERNATIONAL FUTURES LIMITED 5 9 14 4 7 11 -1 -2 -3 64.29 63.64
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 Pyramis Global Advisors (Hong Kong) Limited 3 1 4 2 9 11 -1 8 7 25.00 81.82 2008-07-29 2013-11-15
24 EMPEROR FUTURES LIMITED 2 5 7 2 8 10 0 3 3 71.43 80.00
25 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 10 13 2 8 10 -1 -2 -3 76.92 80.00 2008-07-03
26 BALLINGAL INVESTMENT ADVISORS LIMITED 3 4 7 3 6 9 0 2 2 57.14 66.67 2004-08-13
27 BOCI COMMODITIES & FUTURES LIMITED 5 5 10 3 6 9 -2 1 -1 50.00 66.67 2004-11-17
28 HANG SENG FUTURES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
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 CHIEF COMMODITIES LIMITED 3 6 9 3 5 8 0 -1 -1 66.67 62.50 2006-05-17 2025-08-31
31 HAMON ASSET MANAGEMENT LIMITED 2 8 10 2 6 8 0 -2 -2 80.00 75.00
32 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 4 2 6 6 2 8 2 0 2 33.33 25.00
33 PFP Capital Limited 2 8 10 2 6 8 0 -2 -2 80.00 75.00
34 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14 2018-12-31
35 BOCI SECURITIES LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57 2005-10-06
36 BREVAN HOWARD (HONG KONG) LIMITED 3 2 5 2 5 7 -1 3 2 40.00 71.43 2008-03-12 2018-05-11
37 CHEONG LEE SECURITIES LIMITED 2 2 4 2 5 7 0 3 3 50.00 71.43 2009-08-27
38 DEUTSCHE SECURITIES ASIA LIMITED 4 3 7 3 4 7 -1 1 0 42.86 57.14 2004-01-08 2020-02-04
39 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 2 5 7 0 1 1 66.67 71.43
40 HSBC Global Asset Management Holdings (Bahamas) Limited 4 1 5 6 1 7 2 0 2 20.00 14.29 2020-06-02
41 KGI FUTURES (HONG KONG) LIMITED 4 4 8 6 1 7 2 -3 -1 50.00 14.29
42 NATIXIS ASIA LIMITED 2 4 6 2 5 7 0 1 1 66.67 71.43 2008-08-05
43 SG SECURITIES (HK) LIMITED 2 3 5 3 4 7 1 1 2 60.00 57.14 2010-11-16
44 AllianceBernstein Hong Kong Limited 3 5 8 3 3 6 0 -2 -2 62.50 50.00
45 Oasis Management (Hong Kong) 3 4 7 2 4 6 -1 0 -1 57.14 66.67 2004-09-14
46 OLD PEAK LIMITED (HK) 4 4 8 3 3 6 -1 -1 -2 50.00 50.00 2005-08-26 2023-06-20
47 Yuanta Securities (Hong Kong) Company Limited 0 0 0 4 2 6 4 2 6 - 33.33 2012-06-14
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 2 4 4 1 5 2 -1 1 50.00 20.00 2011-04-26
50 DELTA ASIA FINANCIAL FUTURES LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00
51 FULBRIGHT FUTURES LIMITED 0 0 0 3 2 5 3 2 5 - 40.00 2012-03-20
52 METRO CAPITAL FUTURES LIMITED 3 5 8 2 3 5 -1 -2 -3 62.50 60.00 2014-11-26
53 WINNINGTON CAPITAL LIMITED 3 4 7 3 2 5 0 -2 -2 57.14 40.00
54 Yuanta Asia Investment (Hong Kong) Limited 2 1 3 4 1 5 2 0 2 33.33 20.00 2003-08-13 2013-11-01
55 AD Capital Management (Hong Kong) Limited 2 4 6 2 2 4 0 -2 -2 66.67 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 1 5 6 2 2 4 1 -3 -2 83.33 50.00 2015-06-15
59 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 1 5 6 2 2 4 1 -3 -2 83.33 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 BOCOM International Securities Limited 3 0 3 2 2 4 -1 2 1 0.00 50.00 2007-09-10
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 CLSA FUTURES LIMITED 3 1 4 2 2 4 -1 1 0 25.00 50.00 2016-06-02
64 CNCB (Hong Kong) Capital Limited 2 1 3 1 3 4 -1 2 1 33.33 75.00 2015-08-20
65 Credit Suisse (Hong Kong) Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2008-11-04 2024-09-27
66 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
67 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
68 FIRST SHANGHAI FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
69 Guosen Securities (HK) Brokerage Company, Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2011-03-14
70 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2010-11-26
71 HGNH International Futures Co., Limited 6 0 6 4 0 4 -2 0 -2 0.00 0.00 2010-11-01
72 INVESCO HONG KONG LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00
73 RC Futures Advisory Limited 3 1 4 3 1 4 0 0 0 25.00 25.00 2010-05-19
74 SINOPAC FUTURES (ASIA) LIMITED 2 3 5 3 1 4 1 -2 -1 60.00 25.00 2014-09-25
75 Tyric Capital Limited 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2003-11-13
76 WFM Asia (HK) Limited 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2013-11-05
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 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2004-08-26 2013-12-04
79 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2011-02-15
80 CES Capital International (Hong Kong) Co., Limited 3 1 4 1 2 3 -2 1 -1 25.00 66.67 2009-05-29 2023-02-23
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 Funderstone Asset Management (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-11-14
84 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
85 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-03-21
86 GAM HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-06-19
87 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-12-28 2018-09-26
88 GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2011-10-28 2014-10-31
89 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
90 LIM ADVISORS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2021-02-17
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 0 4 3 0 3 -1 0 -1 0.00 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 Soochow Securities International Futures Limited 0 0 0 3 0 3 3 0 3 - 0.00 2012-08-27
96 Standard Advisory Asia Limited 3 2 5 2 1 3 -1 -1 -2 40.00 33.33 2007-03-09 2013-04-12
97 UPBEST COMMODITIES COMPANY LIMITED 3 2 5 2 1 3 -1 -1 -2 40.00 33.33
98 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
99 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
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 1 4 2 0 2 -1 -1 -2 25.00 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 INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-08-28
112 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
113 GUOYUAN FUTURES (HONG KONG) LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2008-03-05
114 HGNH International Financial Corporation Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-12-09 2016-01-27
115 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
116 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
117 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
118 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02 2012-12-14
119 MAGUSTA FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-02-26
120 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
121 MFG Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-05-24
122 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-25
123 Ping An Securities (Hong Kong) Futures Company Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-03-30
124 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
125 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
126 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-10-30 2015-04-22
127 SDHG International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
128 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
129 Sino-Rich Securities & Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-06-21
130 TRADING CENTRAL ASIA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-08
131 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
132 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
133 YUANTA FUTURES (HK) CO., LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-02-24
134 MIZUHO SECURITIES ASIA LIMITED 4 0 4 1 0 1 -3 0 -3 0.00 0.00 2010-03-01 2016-05-05
135 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2012-06-25
136 FT Securities Limited 3 1 4 0 0 0 -3 -1 -4 25.00 - 2005-09-22 2012-07-13
137 Halbis Capital Management (Hong Kong) Limited 4 2 6 0 0 0 -4 -2 -6 33.33 - 2005-06-23 2012-05-11
138 HSBC FUTURES (SINGAPORE) PTE LTD 4 7 11 0 0 0 -4 -7 -11 63.64 - 2007-04-20 2012-08-08
139 MF Global Hong Kong Limited 4 8 12 0 0 0 -4 -8 -12 66.67 - 2005-08-26
140 SKY WARD GLOBAL MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2012-07-10
Average 2.74 4.98 7.72 2.76 4.93 7.69 64.46 64.08

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