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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2011-10-31 2012-10-31 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 82 91 11 114 125 2 32 34 90.11 91.20 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 2 53 55 3 56 59 1 3 4 96.36 94.92
4 JPMorgan Asset Management (Asia Pacific) Limited 4 36 40 7 34 41 3 -2 1 90.00 82.93
5 Fidelity Management & Research (Hong Kong) Limited 3 20 23 5 22 27 2 2 4 86.96 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 15 20 0 -2 -2 77.27 75.00
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 5 14 19 7 10 17 2 -4 -2 73.68 58.82
11 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 15 19 2 14 16 -2 -1 -3 78.95 87.50
12 CHARLES SCHWAB, HONG KONG, LIMITED 4 12 16 4 11 15 0 -1 -1 75.00 73.33 2016-08-31
13 GET NICE FUTURES COMPANY LIMITED 2 12 14 4 11 15 2 -1 1 85.71 73.33
14 GOLDMAN SACHS (ASIA) L.L.C. 3 11 14 3 12 15 0 1 1 78.57 80.00
15 Morgan Stanley Asia Limited 6 10 16 6 8 14 0 -2 -2 62.50 57.14 2006-04-07
16 DELTA ASIA FINANCIAL FUTURES LIMITED 2 3 5 4 8 12 2 5 7 60.00 66.67
17 GOLDMAN SACHS FUTURES (ASIA) LIMITED 2 11 13 5 7 12 3 -4 -1 84.62 58.33 2016-10-10
18 HAITONG INTERNATIONAL FUTURES LIMITED 5 7 12 4 8 12 -1 1 0 58.33 66.67
19 OCP Asia (Hong Kong) Limited 3 9 12 4 8 12 1 -1 0 75.00 66.67 2004-09-03 2022-06-13
20 ICBC Asset Management (Global) Company Limited 3 6 9 2 9 11 -1 3 2 66.67 81.82
21 Pyramis Global Advisors (Hong Kong) Limited 3 7 10 2 9 11 -1 2 1 70.00 81.82 2008-07-29 2013-11-15
22 BOCI COMMODITIES & FUTURES LIMITED 3 6 9 3 7 10 0 1 1 66.67 70.00 2004-11-17
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 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 9 11 2 8 10 0 -1 -1 81.82 80.00
26 Ark Futures (Hong Kong) Limited 4 9 13 2 7 9 -2 -2 -4 69.23 77.78 2006-02-07
27 BALLINGAL INVESTMENT ADVISORS LIMITED 3 4 7 3 6 9 0 2 2 57.14 66.67 2004-08-13
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 6 2 8 6 2 8 0 0 0 25.00 25.00
34 PFP Capital Limited 2 8 10 2 6 8 0 -2 -2 80.00 75.00
35 BREVAN HOWARD (HONG KONG) LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14 2008-03-12 2018-05-11
36 CHEONG LEE SECURITIES LIMITED 2 2 4 2 5 7 0 3 3 50.00 71.43 2009-08-27
37 DEUTSCHE SECURITIES ASIA LIMITED 4 3 7 2 5 7 -2 2 0 42.86 71.43 2004-01-08 2020-02-04
38 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 2 5 7 0 1 1 66.67 71.43
39 HSBC Global Asset Management Holdings (Bahamas) Limited 6 1 7 6 1 7 0 0 0 14.29 14.29 2020-06-02
40 KGI FUTURES (HONG KONG) LIMITED 4 3 7 6 1 7 2 -2 0 42.86 14.29
41 NATIXIS ASIA LIMITED 2 4 6 2 5 7 0 1 1 66.67 71.43 2008-08-05
42 Oasis Management (Hong Kong) 3 4 7 2 5 7 -1 1 0 57.14 71.43 2004-09-14
43 SG SECURITIES (HK) LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14 2010-11-16
44 AllianceBernstein Hong Kong Limited 2 6 8 3 3 6 1 -3 -2 75.00 50.00
45 BOCI SECURITIES LIMITED 5 2 7 4 2 6 -1 0 -1 28.57 33.33 2005-10-06
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 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
50 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 3 1 4 4 1 5 1 0 1 25.00 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 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2007-12-28 2018-09-26
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 SHACOM FUTURES LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00
76 Tyric Capital Limited 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2003-11-13
77 WFM Asia (HK) Limited 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2013-11-05
78 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2015-02-09
79 Zhonghao International Futures Co., Limited 2 0 2 4 0 4 2 0 2 0.00 0.00 2011-03-10 2013-08-02
80 AP Asset Management (HK) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2004-08-26 2013-12-04
81 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2011-02-15
82 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
83 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2005-03-08 2022-03-16
84 FIRST SHANGHAI FUTURES LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
85 Funderstone Asset Management (HK) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-11-14
86 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 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 GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-10-28 2014-10-31
90 INVESCO HONG KONG LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33
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 MFG Limited (HK) 2 0 2 2 1 3 0 1 1 0.00 33.33 2010-05-24
94 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
95 RG ASSET MANAGEMENT COMPANY LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-11-25
96 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
97 Standard Advisory Asia Limited 3 2 5 2 1 3 -1 -1 -2 40.00 33.33 2007-03-09 2013-04-12
98 UPBEST COMMODITIES COMPANY LIMITED 3 2 5 2 1 3 -1 -1 -2 40.00 33.33
99 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
100 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
101 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2016-04-19
102 YUANTA FUTURES (HK) CO., LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2012-02-24
103 YUE XIU FUTURES COMPANY LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2024-07-30
104 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
105 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00
106 AKTIS CAPITAL ADVISORY LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2003-11-29
107 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2014-05-07
108 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
109 BGC SECURITIES (HONG KONG) LLC 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-10-19 2013-01-07
110 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
111 Changjiang Futures (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-02-13 2024-10-25
112 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-08-28
113 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
114 GUOYUAN FUTURES (HONG KONG) LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2008-03-05
115 HGNH International Financial Corporation Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-12-09 2016-01-27
116 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
117 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
118 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
119 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02 2012-12-14
120 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
121 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-25
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 Sino-Rich Securities & Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-06-21
129 Soochow Securities International Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-08-27
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 Well Link International Securities Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-10-04
134 MAGUSTA FUTURES LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2013-02-26
135 MIZUHO SECURITIES ASIA LIMITED 4 0 4 1 0 1 -3 0 -3 0.00 0.00 2010-03-01 2016-05-05
136 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2012-06-25
137 FT Securities Limited 3 2 5 0 0 0 -3 -2 -5 40.00 - 2005-09-22 2012-07-13
138 Halbis Capital Management (Hong Kong) Limited 6 2 8 0 0 0 -6 -2 -8 25.00 - 2005-06-23 2012-05-11
139 HSBC FUTURES (SINGAPORE) PTE LTD 2 8 10 0 0 0 -2 -8 -10 80.00 - 2007-04-20 2012-08-08
140 MF Global Hong Kong Limited 5 6 11 0 0 0 -5 -6 -11 54.55 - 2005-08-26
141 SKY WARD GLOBAL MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2012-07-10
Average 2.80 5.02 7.82 2.78 4.93 7.71 64.16 63.98

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