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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2011-09-30 2012-09-30 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 9 81 90 11 115 126 2 34 36 90.00 91.27 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 4 71 75 3 66 69 -1 -5 -6 94.67 95.65 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 33 40 3 -4 -1 90.24 82.50
5 Fidelity Management & Research (Hong Kong) Limited 3 19 22 5 22 27 2 3 5 86.36 81.48 2008-09-04 2013-12-19
6 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 16 21 5 18 23 0 2 2 76.19 78.26
7 BARING ASSET MANAGEMENT (ASIA) LIMITED 3 13 16 4 17 21 1 4 5 81.25 80.95
8 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 17 22 5 16 21 0 -1 -1 77.27 76.19
9 Manulife Investment Management (Hong Kong) Limited 3 14 17 3 16 19 0 2 2 82.35 84.21
10 HSBC Global Asset Management (Hong Kong) Limited 4 15 19 7 10 17 3 -5 -2 78.95 58.82
11 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 14 18 3 14 17 -1 0 -1 77.78 82.35
12 CHARLES SCHWAB, HONG KONG, LIMITED 4 12 16 4 11 15 0 -1 -1 75.00 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 HAITONG INTERNATIONAL FUTURES LIMITED 5 8 13 4 8 12 -1 0 -1 61.54 66.67
18 OCP Asia (Hong Kong) Limited 3 9 12 4 8 12 1 -1 0 75.00 66.67 2004-09-03 2022-06-13
19 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 9 11 2 9 11 0 0 0 81.82 81.82
20 ICBC Asset Management (Global) Company Limited 2 6 8 2 9 11 0 3 3 75.00 81.82
21 Pyramis Global Advisors (Hong Kong) Limited 3 3 6 2 9 11 -1 6 5 50.00 81.82 2008-07-29 2013-11-15
22 Ark Futures (Hong Kong) Limited 4 10 14 3 7 10 -1 -3 -4 71.43 70.00 2006-02-07
23 EMPEROR FUTURES LIMITED 2 5 7 3 7 10 1 2 3 71.43 70.00
24 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 4 10 14 3 7 10 -1 -3 -4 71.43 70.00
25 BALLINGAL INVESTMENT ADVISORS LIMITED 3 4 7 3 6 9 0 2 2 57.14 66.67 2004-08-13
26 BOCI COMMODITIES & FUTURES LIMITED 3 5 8 4 5 9 1 0 1 62.50 55.56 2004-11-17
27 DELTA ASIA FINANCIAL FUTURES LIMITED 3 2 5 4 5 9 1 3 4 40.00 55.56
28 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 9 12 2 7 9 -1 -2 -3 75.00 77.78 2008-07-03
29 HANG SENG FUTURES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
30 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
31 CHIEF COMMODITIES LIMITED 3 6 9 3 5 8 0 -1 -1 66.67 62.50 2006-05-17 2025-08-31
32 HAMON ASSET MANAGEMENT LIMITED 2 8 10 2 6 8 0 -2 -2 80.00 75.00
33 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 5 2 7 6 2 8 1 0 1 28.57 25.00
34 PFP Capital Limited 2 8 10 2 6 8 0 -2 -2 80.00 75.00
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 3 4 7 0 2 2 40.00 57.14 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 5 1 6 6 1 7 1 0 1 16.67 14.29 2020-06-02
41 KGI FUTURES (HONG KONG) LIMITED 4 3 7 6 1 7 2 -2 0 42.86 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 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2018-12-31
49 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 3 6 3 2 5 0 -1 -1 50.00 40.00 2018-09-21
50 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 2 4 4 1 5 2 -1 1 50.00 20.00 2011-04-26
51 CNCB (Hong Kong) Capital Limited 2 1 3 1 4 5 -1 3 2 33.33 80.00 2015-08-20
52 FULBRIGHT FUTURES LIMITED 0 0 0 3 2 5 3 2 5 - 40.00 2012-03-20
53 METRO CAPITAL FUTURES LIMITED 3 4 7 2 3 5 -1 -1 -2 57.14 60.00 2014-11-26
54 SINOPAC FUTURES (ASIA) LIMITED 2 3 5 4 1 5 2 -2 0 60.00 20.00 2014-09-25
55 WINNINGTON CAPITAL LIMITED 3 4 7 3 2 5 0 -2 -2 57.14 40.00
56 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
57 AD Capital Management (Hong Kong) Limited 2 4 6 2 2 4 0 -2 -2 66.67 50.00 2004-09-08
58 ADMIS Hong Kong Limited 2 1 3 3 1 4 1 0 1 33.33 25.00
59 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
60 AXA Investment Managers Asia Limited 1 5 6 2 2 4 1 -3 -2 83.33 50.00 2015-06-15
61 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 1 5 6 2 2 4 1 -3 -2 83.33 50.00 2015-06-15
62 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
63 BOCOM International Securities Limited 3 0 3 2 2 4 -1 2 1 0.00 50.00 2007-09-10
64 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
65 CES Capital International (Hong Kong) Co., Limited 3 1 4 2 2 4 -1 1 0 25.00 50.00 2009-05-29 2023-02-23
66 CLSA FUTURES LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2016-06-02
67 Credit Suisse (Hong Kong) Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2008-11-04 2024-09-27
68 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
69 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
70 FIRST SHANGHAI FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
71 Guosen Securities (HK) Brokerage Company, Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2011-03-14
72 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2010-11-26
73 HGNH International Futures Co., Limited 6 0 6 4 0 4 -2 0 -2 0.00 0.00 2010-11-01
74 RC Futures Advisory Limited 3 1 4 3 1 4 0 0 0 25.00 25.00 2010-05-19
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 Zhonghao International Futures Co., Limited 2 0 2 4 0 4 2 0 2 0.00 0.00 2011-03-10 2013-08-02
79 AP Asset Management (HK) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2004-08-26 2013-12-04
80 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2011-02-15
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 3 0 3 3 0 3 0 0 0 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 INVESCO HONG KONG LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33
90 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
91 LIM ADVISORS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2021-02-17
92 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
93 RG ASSET MANAGEMENT COMPANY LIMITED 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2013-11-25
94 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
95 SHACOM FUTURES LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00
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 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
103 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00
104 AKTIS CAPITAL ADVISORY LIMITED 3 1 4 2 0 2 -1 -1 -2 25.00 0.00 2003-11-29
105 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2014-05-07
106 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
107 BGC SECURITIES (HONG KONG) LLC 0 0 0 2 0 2 2 0 2 - 0.00 2011-10-19 2013-01-07
108 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
109 Changjiang Futures (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-02-13 2024-10-25
110 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-08-28
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 2 0 2 1 -1 0 50.00 0.00 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 2 0 2 2 0 2 0 0 0 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 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
119 MFG Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-05-24
120 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-25
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 Sino-Rich Securities & Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-06-21
128 Soochow Securities International Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-08-27
129 TRADING CENTRAL ASIA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-08
130 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
131 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
132 YUANTA FUTURES (HK) CO., LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-02-24
133 MAGUSTA FUTURES LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2013-02-26
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 2 5 0 0 0 -3 -2 -5 40.00 - 2005-09-22 2012-07-13
137 Halbis Capital Management (Hong Kong) Limited 5 2 7 0 0 0 -5 -2 -7 28.57 - 2005-06-23 2012-05-11
138 HSBC FUTURES (SINGAPORE) PTE LTD 2 7 9 0 0 0 -2 -7 -9 77.78 - 2007-04-20 2012-08-08
139 MF Global Hong Kong Limited 3 7 10 0 0 0 -3 -7 -10 70.00 - 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 5.09 7.82 2.80 4.93 7.72 65.01 63.77

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