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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2011-11-30 2012-11-30 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 10 82 92 13 110 123 3 28 31 89.13 89.43 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 71 74 3 63 66 0 -8 -8 95.95 95.45 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 14 17 4 17 21 1 3 4 82.35 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 15 18 3 17 20 0 2 2 83.33 85.00
10 HSBC Global Asset Management (Hong Kong) Limited 5 14 19 7 11 18 2 -3 -1 73.68 61.11
11 CHARLES SCHWAB, HONG KONG, LIMITED 4 12 16 4 12 16 0 0 0 75.00 75.00 2016-08-31
12 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 13 17 2 14 16 -2 1 -1 76.47 87.50
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 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 BOCI COMMODITIES & FUTURES LIMITED 3 6 9 3 8 11 0 2 2 66.67 72.73 2004-11-17
20 HAITONG INTERNATIONAL FUTURES LIMITED 5 7 12 3 8 11 -2 1 -1 58.33 72.73
21 ICBC Asset Management (Global) Company Limited 3 8 11 2 9 11 -1 1 0 72.73 81.82
22 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
23 EMPEROR FUTURES LIMITED 2 6 8 3 7 10 1 1 2 75.00 70.00
24 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 4 11 15 3 7 10 -1 -4 -5 73.33 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 5 8 3 6 9 0 1 1 62.50 66.67 2004-08-13
28 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 10 13 2 7 9 -1 -3 -4 76.92 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 DEUTSCHE SECURITIES ASIA LIMITED 4 3 7 3 5 8 -1 2 1 42.86 62.50 2004-01-08 2020-02-04
33 HAMON ASSET MANAGEMENT LIMITED 2 8 10 2 6 8 0 -2 -2 80.00 75.00
34 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 2 8 6 2 8 0 0 0 25.00 25.00
35 Oasis Management (Hong Kong) 3 4 7 2 6 8 -1 2 1 57.14 75.00 2004-09-14
36 PFP Capital Limited 2 8 10 2 6 8 0 -2 -2 80.00 75.00
37 BREVAN HOWARD (HONG KONG) LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14 2008-03-12 2018-05-11
38 CHEONG LEE SECURITIES LIMITED 2 2 4 2 5 7 0 3 3 50.00 71.43 2009-08-27
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 3 4 7 6 1 7 3 -3 0 57.14 14.29
41 NATIXIS ASIA LIMITED 2 4 6 2 5 7 0 1 1 66.67 71.43 2008-08-05
42 SG SECURITIES (HK) LIMITED 3 3 6 3 4 7 0 1 1 50.00 57.14 2010-11-16
43 AllianceBernstein Hong Kong Limited 2 6 8 3 3 6 1 -3 -2 75.00 50.00
44 BOCI SECURITIES LIMITED 5 2 7 4 2 6 -1 0 -1 28.57 33.33 2005-10-06
45 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67
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 2 5 4 1 5 1 -1 0 40.00 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 SHACOM FUTURES LIMITED 2 0 2 3 2 5 1 2 3 0.00 40.00
55 SINOPAC FUTURES (ASIA) LIMITED 2 3 5 4 1 5 2 -2 0 60.00 20.00 2014-09-25
56 Well Link International Securities Limited 0 0 0 2 3 5 2 3 5 - 60.00 2012-10-04
57 WINNINGTON CAPITAL LIMITED 3 4 7 3 2 5 0 -2 -2 57.14 40.00
58 Yuanta Asia Investment (Hong Kong) Limited 3 1 4 4 1 5 1 0 1 25.00 20.00 2003-08-13 2013-11-01
59 AD Capital Management (Hong Kong) Limited 2 4 6 2 2 4 0 -2 -2 66.67 50.00 2004-09-08
60 ADMIS Hong Kong Limited 2 1 3 3 1 4 1 0 1 33.33 25.00
61 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
62 AXA Investment Managers Asia Limited 1 5 6 2 2 4 1 -3 -2 83.33 50.00 2015-06-15
63 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 1 5 6 2 2 4 1 -3 -2 83.33 50.00 2015-06-15
64 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
65 BOCOM International Securities Limited 3 0 3 2 2 4 -1 2 1 0.00 50.00 2007-09-10
66 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
67 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
68 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
69 CLSA FUTURES LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2016-06-02
70 Credit Suisse (Hong Kong) Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2008-11-04 2024-09-27
71 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
72 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
73 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2007-12-28 2018-09-26
74 Guosen Securities (HK) Brokerage Company, Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2011-03-14
75 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2010-11-26
76 HGNH International Futures Co., Limited 6 0 6 4 0 4 -2 0 -2 0.00 0.00 2010-11-01
77 RC Futures Advisory Limited 3 1 4 3 1 4 0 0 0 25.00 25.00 2010-05-19
78 Tyric Capital Limited 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2003-11-13
79 WFM Asia (HK) Limited 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2013-11-05
80 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2015-02-09
81 Zhonghao International Futures Co., Limited 2 0 2 4 0 4 2 0 2 0.00 0.00 2011-03-10 2013-08-02
82 AP Asset Management (HK) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2004-08-26 2013-12-04
83 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
84 ELLIOTT ADVISORS (HK) LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2005-03-08 2022-03-16
85 FIRST SHANGHAI FUTURES LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
86 Funderstone Asset Management (HK) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-11-14
87 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
88 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-03-21
89 GAM HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-06-19
90 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
91 INVESCO HONG KONG LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33
92 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
93 LIM ADVISORS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2021-02-17
94 MFG Limited (HK) 2 0 2 3 0 3 1 0 1 0.00 0.00 2010-05-24
95 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
96 RG ASSET MANAGEMENT COMPANY LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-11-25
97 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
98 SDHG International Asset Management Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2008-12-02
99 UPBEST COMMODITIES COMPANY LIMITED 3 2 5 2 1 3 -1 -1 -2 40.00 33.33
100 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
101 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
102 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2016-04-19
103 YUANTA FUTURES (HK) CO., LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2012-02-24
104 YUE XIU FUTURES COMPANY LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2024-07-30
105 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
106 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00
107 AKTIS CAPITAL ADVISORY LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2003-11-29
108 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2014-05-07
109 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
110 BGC SECURITIES (HONG KONG) LLC 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-10-19 2013-01-07
111 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
112 Changjiang Futures (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-02-13 2024-10-25
113 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-08-28
114 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
115 GUOYUAN FUTURES (HONG KONG) LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2008-03-05
116 HGNH International Financial Corporation Limited 0 0 0 2 0 2 2 0 2 - 0.00 2011-12-09 2016-01-27
117 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
118 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
119 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
120 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02 2012-12-14
121 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
122 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-25
123 PEAK PROSPERITY CONSULTING (HONG KONG) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-11-09 2015-07-31
124 Ping An Securities (Hong Kong) Futures Company Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-03-30
125 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
126 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
127 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-10-30 2015-04-22
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 Soochow Securities International Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-08-27
131 TRADING CENTRAL ASIA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-08
132 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
133 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
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 2 0 2 0 0 0 -2 0 -2 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 6 2 8 0 0 0 -6 -2 -8 25.00 - 2005-06-23 2012-05-11
138 HSBC FUTURES (SINGAPORE) PTE LTD 2 10 12 0 0 0 -2 -10 -12 83.33 - 2007-04-20 2012-08-08
139 MAGUSTA FUTURES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2013-02-26
140 MF Global Hong Kong Limited 0 2 2 0 0 0 0 -2 -2 100.00 - 2005-08-26
141 SKY WARD GLOBAL MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2012-07-10
142 Standard Advisory Asia Limited 3 2 5 0 0 0 -3 -2 -5 40.00 - 2007-03-09 2013-04-12
Average 2.76 5.07 7.83 2.81 4.98 7.79 64.72 63.89

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