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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2011-12-31 2012-12-31 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 10 84 94 13 111 124 3 27 30 89.36 89.52 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 3 57 60 3 59 62 0 2 2 95.00 95.16
4 JPMorgan Asset Management (Asia Pacific) Limited 4 37 41 7 34 41 3 -3 0 90.24 82.93
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 4 16 20 5 18 23 1 2 3 80.00 78.26
7 BARING ASSET MANAGEMENT (ASIA) LIMITED 3 15 18 4 17 21 1 2 3 83.33 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 13 18 7 11 18 2 -2 0 72.22 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 7 13 0 -3 -3 62.50 53.85 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 3 11 14 5 7 12 2 -4 -2 78.57 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 ICBC Asset Management (Global) Company Limited 1 8 9 2 9 11 1 1 2 88.89 81.82
20 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
21 BOCI COMMODITIES & FUTURES LIMITED 4 5 9 2 8 10 -2 3 1 55.56 80.00 2004-11-17
22 EMPEROR FUTURES LIMITED 2 5 7 3 7 10 1 2 3 71.43 70.00
23 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 4 10 14 3 7 10 -1 -3 -4 71.43 70.00
24 HAITONG INTERNATIONAL FUTURES LIMITED 5 7 12 3 7 10 -2 0 -2 58.33 70.00
25 Ark Futures (Hong Kong) Limited 4 8 12 2 7 9 -2 -1 -3 66.67 77.78 2006-02-07
26 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 10 13 2 7 9 -1 -3 -4 76.92 77.78 2008-07-03
27 HANG SENG FUTURES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
28 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 9 11 2 7 9 0 -2 -2 81.82 77.78
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 BALLINGAL INVESTMENT ADVISORS LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2004-08-13
31 CHIEF COMMODITIES LIMITED 3 6 9 3 5 8 0 -1 -1 66.67 62.50 2006-05-17 2025-08-31
32 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 2 8 6 2 8 0 0 0 25.00 25.00
33 Oasis Management (Hong Kong) 3 4 7 2 6 8 -1 2 1 57.14 75.00 2004-09-14
34 BREVAN HOWARD (HONG KONG) LIMITED 3 3 6 4 3 7 1 0 1 50.00 42.86 2008-03-12 2018-05-11
35 CHEONG LEE SECURITIES LIMITED 2 1 3 2 5 7 0 4 4 33.33 71.43 2009-08-27
36 DEUTSCHE SECURITIES ASIA LIMITED 4 4 8 3 4 7 -1 0 -1 50.00 57.14 2004-01-08 2020-02-04
37 HAMON ASSET MANAGEMENT LIMITED 2 7 9 2 5 7 0 -2 -2 77.78 71.43
38 HSBC Global Asset Management Holdings (Bahamas) Limited 6 1 7 6 1 7 0 0 0 14.29 14.29 2020-06-02
39 KGI FUTURES (HONG KONG) LIMITED 5 3 8 6 1 7 1 -2 -1 37.50 14.29
40 NATIXIS ASIA LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2008-08-05
41 PFP Capital Limited 2 7 9 2 5 7 0 -2 -2 77.78 71.43
42 SG SECURITIES (HK) LIMITED 2 3 5 3 4 7 1 1 2 60.00 57.14 2010-11-16
43 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67
44 OLD PEAK LIMITED (HK) 4 3 7 3 3 6 -1 0 -1 42.86 50.00 2005-08-26 2023-06-20
45 Well Link International Securities Limited 0 0 0 2 4 6 2 4 6 - 66.67 2012-10-04
46 Yuanta Securities (Hong Kong) Company Limited 0 0 0 4 2 6 4 2 6 - 33.33 2012-06-14
47 AllianceBernstein Hong Kong Limited 2 5 7 2 3 5 0 -2 -2 71.43 60.00
48 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2018-12-31
49 BOCI SECURITIES LIMITED 5 2 7 3 2 5 -2 0 -2 28.57 40.00 2005-10-06
50 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
51 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 3 3 6 4 1 5 1 -2 -1 50.00 20.00 2011-04-26
52 CNCB (Hong Kong) Capital Limited 3 1 4 1 4 5 -2 3 1 25.00 80.00 2015-08-20
53 FULBRIGHT FUTURES LIMITED 0 0 0 3 2 5 3 2 5 - 40.00 2012-03-20
54 METRO CAPITAL FUTURES LIMITED 3 4 7 2 3 5 -1 -1 -2 57.14 60.00 2014-11-26
55 SHACOM FUTURES LIMITED 2 0 2 3 2 5 1 2 3 0.00 40.00
56 SINOPAC FUTURES (ASIA) LIMITED 2 3 5 4 1 5 2 -2 0 60.00 20.00 2014-09-25
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 5 0 5 4 0 4 -1 0 -1 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 SDHG International Asset Management Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2008-12-02
79 Tyric Capital Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2003-11-13
80 WFM Asia (HK) Limited 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2013-11-05
81 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-02-09
82 Zhonghao International Futures Co., Limited 2 0 2 4 0 4 2 0 2 0.00 0.00 2011-03-10 2013-08-02
83 AP Asset Management (HK) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2004-08-26 2013-12-04
84 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
85 ELLIOTT ADVISORS (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2005-03-08 2022-03-16
86 FIRST SHANGHAI FUTURES LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
87 Funderstone Asset Management (HK) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-11-14
88 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
89 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-03-21
90 GAM HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-06-19
91 GUODU FUTURES (HONG KONG) LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2012-12-04
92 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
93 INVESCO HONG KONG LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33
94 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
95 LIM ADVISORS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2021-02-17
96 MFG Limited (HK) 2 0 2 3 0 3 1 0 1 0.00 0.00 2010-05-24
97 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
98 RG ASSET MANAGEMENT COMPANY LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-11-25
99 SBI China Capital Commodities Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-16
100 Soochow Securities International Futures Limited 0 0 0 2 1 3 2 1 3 - 33.33 2012-08-27
101 UPBEST COMMODITIES COMPANY LIMITED 3 2 5 2 1 3 -1 -1 -2 40.00 33.33
102 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
103 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
104 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2016-04-19
105 YUANTA FUTURES (HK) CO., LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2012-02-24
106 YUE XIU FUTURES COMPANY LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2024-07-30
107 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
108 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
109 AKTIS CAPITAL ADVISORY LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2003-11-29
110 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2014-05-07
111 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
112 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
113 Changjiang Futures (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-02-13 2024-10-25
114 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-08-28
115 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
116 GUOYUAN FUTURES (HONG KONG) LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2008-03-05
117 HGNH International Financial Corporation Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-12-09 2016-01-27
118 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
119 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
120 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
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 MIZUHO SECURITIES ASIA LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-03-01 2016-05-05
124 PEAK PROSPERITY CONSULTING (HONG KONG) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-11-09 2015-07-31
125 Ping An Securities (Hong Kong) Futures Company Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-03-30
126 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
127 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
128 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-10-30 2015-04-22
129 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
130 Sino-Rich Securities & Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-06-21
131 Standard Chartered Securities (Hong Kong) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-12-17
132 TRADING CENTRAL ASIA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-08
133 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
134 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
135 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2012-06-25
136 BGC SECURITIES (HONG KONG) LLC 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-10-19 2013-01-07
137 FT Securities Limited 3 2 5 0 0 0 -3 -2 -5 40.00 - 2005-09-22 2012-07-13
138 HSBC FUTURES (SINGAPORE) PTE LTD 3 10 13 0 0 0 -3 -10 -13 76.92 - 2007-04-20 2012-08-08
139 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-12-02 2012-12-14
140 MAGUSTA FUTURES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2013-02-26
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 1 4 0 0 0 -3 -1 -4 25.00 - 2007-03-09 2013-04-12
Average 2.75 5.05 7.81 2.81 4.98 7.78 64.73 63.95

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