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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2012-01-31 2013-01-31 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 85 95 12 111 123 2 26 28 89.47 90.24 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 56 59 3 56 59 0 0 0 94.92 94.92
4 JPMorgan Asset Management (Asia Pacific) Limited 3 37 40 7 34 41 4 -3 1 92.50 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 5 15 20 5 17 22 0 2 2 75.00 77.27
7 BARING ASSET MANAGEMENT (ASIA) LIMITED 3 14 17 4 17 21 1 3 4 82.35 80.95
8 Manulife Investment Management (Hong Kong) Limited 3 15 18 2 18 20 -1 3 2 83.33 90.00
9 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 17 22 5 14 19 0 -3 -3 77.27 73.68
10 HSBC Global Asset Management (Hong Kong) Limited 5 13 18 7 10 17 2 -3 -1 72.22 58.82
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 DELTA ASIA FINANCIAL FUTURES LIMITED 2 3 5 4 8 12 2 5 7 60.00 66.67
16 Morgan Stanley Asia Limited 6 10 16 6 6 12 0 -4 -4 62.50 50.00 2006-04-07
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 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 10 14 5 6 11 1 -4 -3 71.43 54.55 2016-10-10
19 ICBC Asset Management (Global) Company Limited 2 8 10 2 9 11 0 1 1 80.00 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 KGI FUTURES (HONG KONG) LIMITED 6 3 9 6 3 9 0 0 0 33.33 33.33
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 BALLINGAL INVESTMENT ADVISORS LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2004-08-13
32 CHIEF COMMODITIES LIMITED 3 6 9 3 5 8 0 -1 -1 66.67 62.50 2006-05-17 2025-08-31
33 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 2 8 6 2 8 0 0 0 25.00 25.00
34 NATIXIS ASIA LIMITED 2 5 7 3 5 8 1 0 1 71.43 62.50 2008-08-05
35 Oasis Management (Hong Kong) 3 4 7 2 6 8 -1 2 1 57.14 75.00 2004-09-14
36 BREVAN HOWARD (HONG KONG) LIMITED 3 3 6 4 3 7 1 0 1 50.00 42.86 2008-03-12 2018-05-11
37 CHEONG LEE SECURITIES LIMITED 2 1 3 2 5 7 0 4 4 33.33 71.43 2009-08-27
38 DEUTSCHE SECURITIES ASIA LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14 2004-01-08 2020-02-04
39 HAMON ASSET MANAGEMENT LIMITED 2 7 9 2 5 7 0 -2 -2 77.78 71.43
40 HSBC Global Asset Management Holdings (Bahamas) Limited 6 1 7 6 1 7 0 0 0 14.29 14.29 2020-06-02
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 AllianceBernstein Hong Kong Limited 3 4 7 2 4 6 -1 0 -1 57.14 66.67
44 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67
45 OLD PEAK LIMITED (HK) 4 3 7 3 3 6 -1 0 -1 42.86 50.00 2005-08-26 2023-06-20
46 Well Link International Securities Limited 0 0 0 2 4 6 2 4 6 - 66.67 2012-10-04
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 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 2 5 4 1 5 1 -1 0 40.00 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 3 3 6 4 1 5 1 -2 -1 50.00 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 2 4 2 2 4 0 0 0 50.00 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 Credit Suisse (Hong Kong) Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2008-11-04 2024-09-27
69 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
70 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
71 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2007-12-28 2018-09-26
72 Guosen Securities (HK) Brokerage Company, Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2011-03-14
73 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2010-11-26
74 HGNH International Futures Co., Limited 5 0 5 4 0 4 -1 0 -1 0.00 0.00 2010-11-01
75 RC Futures Advisory Limited 3 1 4 3 1 4 0 0 0 25.00 25.00 2010-05-19
76 SDHG International Asset Management Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2008-12-02
77 Standard Chartered Securities (Hong Kong) Limited 0 0 0 2 2 4 2 2 4 - 50.00 2012-12-17
78 Tyric Capital Limited 2 2 4 2 2 4 0 0 0 50.00 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 2 4 2 2 4 0 0 0 50.00 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 CES Capital International (Hong Kong) Co., Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2009-05-29 2023-02-23
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 CLSA FUTURES LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2016-06-02
86 ELLIOTT ADVISORS (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2005-03-08 2022-03-16
87 FIRST SHANGHAI FUTURES LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
88 Funderstone Asset Management (HK) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-11-14
89 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
90 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-03-21
91 GAM HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-06-19
92 GUODU FUTURES (HONG KONG) LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2012-12-04
93 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
94 INVESCO HONG KONG LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33
95 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
96 LIM ADVISORS LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2021-02-17
97 MFG Limited (HK) 2 0 2 3 0 3 1 0 1 0.00 0.00 2010-05-24
98 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
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 1 3 2 1 3 0 0 0 33.33 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 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
110 ALETHEIA TECHNOLOGIES LIMITED (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2013-01-23 2014-06-11
111 AXIOM INVESTMENT MANAGEMENT LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2014-05-07
112 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
113 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
114 Changjiang Futures (HK) Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-02-13 2024-10-25
115 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-08-28
116 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
117 Citigroup Global Markets Asia Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-01-09
118 GUOYUAN FUTURES (HONG KONG) LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2008-03-05
119 HGNH International Financial Corporation Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-12-09 2016-01-27
120 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
121 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
122 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
123 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
124 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-25
125 MIZUHO SECURITIES ASIA LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-03-01 2016-05-05
126 PEAK PROSPERITY CONSULTING (HONG KONG) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-11-09 2015-07-31
127 Ping An Securities (Hong Kong) Futures Company Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-03-30
128 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
129 RG ASSET MANAGEMENT COMPANY LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2013-11-25
130 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
131 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-10-30 2015-04-22
132 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
133 Sino-Rich Securities & Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-06-21
134 TRADING CENTRAL ASIA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-08
135 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
136 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
137 AIM Y. K. HUI INVESTMENT CONSULTANTS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2012-06-25
138 BGC SECURITIES (HONG KONG) LLC 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-10-19 2013-01-07
139 FT Securities Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2005-09-22 2012-07-13
140 HSBC FUTURES (SINGAPORE) PTE LTD 3 9 12 0 0 0 -3 -9 -12 75.00 - 2007-04-20 2012-08-08
141 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-12-02 2012-12-14
142 MAGUSTA FUTURES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2013-02-26
143 Standard Advisory Asia Limited 3 1 4 0 0 0 -3 -1 -4 25.00 - 2007-03-09 2013-04-12
Average 2.78 5.05 7.82 2.78 4.88 7.65 64.52 63.69

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