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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2012-03-31 2013-03-31 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 82 92 14 105 119 4 23 27 89.13 88.24 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 71 74 3 62 65 0 -9 -9 95.95 95.38 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 58 61 3 57 60 0 -1 -1 95.08 95.00
4 JPMorgan Asset Management (Asia Pacific) Limited 4 36 40 6 34 40 2 -2 0 90.00 85.00
5 Fidelity Management & Research (Hong Kong) Limited 3 19 22 5 23 28 2 4 6 86.36 82.14 2008-09-04 2013-12-19
6 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 15 20 5 19 24 0 4 4 75.00 79.17
7 Standard Chartered Securities (Hong Kong) Limited 0 0 0 2 21 23 2 21 23 - 91.30 2012-12-17
8 BARING ASSET MANAGEMENT (ASIA) LIMITED 3 16 19 4 16 20 1 0 1 84.21 80.00
9 Manulife Investment Management (Hong Kong) Limited 3 15 18 2 18 20 -1 3 2 83.33 90.00
10 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 17 22 5 14 19 0 -3 -3 77.27 73.68
11 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 4 12 16 0 1 1 73.33 75.00 2016-08-31
12 HSBC Global Asset Management (Hong Kong) Limited 7 11 18 7 9 16 0 -2 -2 61.11 56.25
13 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 12 16 2 13 15 -2 1 -1 75.00 86.67
14 GET NICE FUTURES COMPANY LIMITED 2 12 14 3 11 14 1 -1 0 85.71 78.57
15 DELTA ASIA FINANCIAL FUTURES LIMITED 2 3 5 4 8 12 2 5 7 60.00 66.67
16 GOLDMAN SACHS (ASIA) L.L.C. 3 11 14 3 9 12 0 -2 -2 78.57 75.00
17 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 10 13 3 9 12 0 -1 -1 76.92 75.00
18 ICBC Asset Management (Global) Company Limited 2 10 12 2 10 12 0 0 0 83.33 83.33
19 Morgan Stanley Asia Limited 6 9 15 6 6 12 0 -3 -3 60.00 50.00 2006-04-07
20 OCP Asia (Hong Kong) Limited 3 9 12 3 9 12 0 0 0 75.00 75.00 2004-09-03 2022-06-13
21 Pyramis Global Advisors (Hong Kong) Limited 2 7 9 2 10 12 0 3 3 77.78 83.33 2008-07-29 2013-11-15
22 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 10 12 2 9 11 0 -1 -1 83.33 81.82 2008-07-03
23 BOCI COMMODITIES & FUTURES LIMITED 4 5 9 3 7 10 -1 2 1 55.56 70.00 2004-11-17
24 HAITONG INTERNATIONAL FUTURES LIMITED 5 4 9 3 7 10 -2 3 1 44.44 70.00
25 KGI FUTURES (HONG KONG) LIMITED 6 3 9 7 3 10 1 0 1 33.33 30.00
26 Ark Futures (Hong Kong) Limited 4 8 12 2 7 9 -2 -1 -3 66.67 77.78 2006-02-07
27 EMPEROR FUTURES LIMITED 2 5 7 2 7 9 0 2 2 71.43 77.78
28 HANG SENG FUTURES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
29 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 9 11 2 7 9 0 -2 -2 81.82 77.78
30 Oasis Management (Hong Kong) 2 3 5 2 7 9 0 4 4 60.00 77.78 2004-09-14
31 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
32 BALLINGAL INVESTMENT ADVISORS LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50 2004-08-13
33 GOLDMAN SACHS FUTURES (ASIA) LIMITED 5 7 12 4 4 8 -1 -3 -4 58.33 50.00 2016-10-10
34 NATIXIS ASIA LIMITED 2 5 7 3 5 8 1 0 1 71.43 62.50 2008-08-05
35 Yuanta Securities (Hong Kong) Company Limited 0 0 0 4 4 8 4 4 8 - 50.00 2012-06-14
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 3 5 2 5 7 0 2 2 60.00 71.43 2009-08-27
38 CHIEF COMMODITIES LIMITED 3 6 9 3 4 7 0 -2 -2 66.67 57.14 2006-05-17 2025-08-31
39 DEUTSCHE SECURITIES ASIA LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14 2004-01-08 2020-02-04
40 HAMON ASSET MANAGEMENT LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 71.43
41 HSBC Global Asset Management Holdings (Bahamas) Limited 6 1 7 6 1 7 0 0 0 14.29 14.29 2020-06-02
42 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 2 8 6 1 7 0 -1 -1 25.00 14.29
43 PFP Capital Limited 2 6 8 2 5 7 0 -1 -1 75.00 71.43
44 SG SECURITIES (HK) LIMITED 2 4 6 3 4 7 1 0 1 66.67 57.14 2010-11-16
45 AllianceBernstein Hong Kong Limited 3 2 5 3 3 6 0 1 1 40.00 50.00
46 BOCOM International Securities Limited 3 0 3 2 4 6 -1 4 3 0.00 66.67 2007-09-10
47 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 3 3 6 1 -1 0 66.67 50.00
48 OLD PEAK LIMITED (HK) 4 3 7 3 3 6 -1 0 -1 42.86 50.00 2005-08-26 2023-06-20
49 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 3 3 6 2 3 5 -1 0 -1 50.00 60.00 2018-12-31
50 BOCI SECURITIES LIMITED 5 2 7 3 2 5 -2 0 -2 28.57 40.00 2005-10-06
51 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
52 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00 2011-04-26
53 CNCB (Hong Kong) Capital Limited 3 2 5 1 4 5 -2 2 0 40.00 80.00 2015-08-20
54 FULBRIGHT FUTURES LIMITED 2 0 2 3 2 5 1 2 3 0.00 40.00 2012-03-20
55 Guosen Securities (HK) Brokerage Company, Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2011-03-14
56 METRO CAPITAL FUTURES LIMITED 3 4 7 2 3 5 -1 -1 -2 57.14 60.00 2014-11-26
57 SHACOM FUTURES LIMITED 2 0 2 3 2 5 1 2 3 0.00 40.00
58 Well Link International Securities Limited 0 0 0 2 3 5 2 3 5 - 60.00 2012-10-04
59 ADMIS Hong Kong Limited 2 2 4 3 1 4 1 -1 0 50.00 25.00
60 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
61 AXA Investment Managers Asia Limited 2 5 7 2 2 4 0 -3 -3 71.43 50.00 2015-06-15
62 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 5 7 2 2 4 0 -3 -3 71.43 50.00 2015-06-15
63 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
64 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
65 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
66 Credit Suisse (Hong Kong) Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2008-11-04 2024-09-27
67 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
68 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
69 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2010-11-26
70 HGNH International Futures Co., Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2010-11-01
71 RC Futures Advisory Limited 3 1 4 3 1 4 0 0 0 25.00 25.00 2010-05-19
72 SDHG International Asset Management Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2008-12-02
73 SINOPAC FUTURES (ASIA) LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2014-09-25
74 WFM Asia (HK) Limited 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2013-11-05
75 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-02-09
76 WINNINGTON CAPITAL LIMITED 3 4 7 2 2 4 -1 -2 -3 57.14 50.00
77 Yuanta Asia Investment (Hong Kong) Limited 3 2 5 4 0 4 1 -2 -1 40.00 0.00 2003-08-13 2013-11-01
78 YUANTA FUTURES (HK) CO., LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2012-02-24
79 AD Capital Management (Hong Kong) Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2004-09-08
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 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
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 CLSA FUTURES LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2016-06-02
84 ELLIOTT ADVISORS (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 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 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-12-28 2018-09-26
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 1 3 2 1 3 0 0 0 33.33 33.33 2021-02-17
96 MFG Limited (HK) 3 0 3 3 0 3 0 0 0 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 Soochow Securities International Futures Limited 0 0 0 2 1 3 2 1 3 - 33.33 2012-08-27
99 Tyric Capital Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2003-11-13
100 UPBEST COMMODITIES COMPANY LIMITED 3 2 5 2 1 3 -1 -1 -2 40.00 33.33
101 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
102 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
103 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2016-04-19
104 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-07-30
105 Zhonghao International Futures Co., Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2011-03-10 2013-08-02
106 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
107 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
108 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
109 ALETHEIA TECHNOLOGIES LIMITED (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2013-01-23 2014-06-11
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 2 0 2 2 0 2 0 0 0 0.00 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 Citigroup Global Markets Asia Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-01-09
117 GUOYUAN FUTURES (HONG KONG) LIMITED 1 1 2 2 0 2 1 -1 0 50.00 0.00 2008-03-05
118 HGNH International Financial Corporation Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-12-09 2016-01-27
119 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
120 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
121 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
122 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
123 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-25
124 MIZUHO SECURITIES ASIA LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-03-01 2016-05-05
125 PEAK PROSPERITY CONSULTING (HONG KONG) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-11-09 2015-07-31
126 Ping An Securities (Hong Kong) Futures Company Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-03-30
127 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
128 RG ASSET MANAGEMENT COMPANY LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2013-11-25
129 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
130 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
131 Sino-Rich Securities & Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2012-06-21
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 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2003-10-30 2015-04-22
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 2 2 4 0 0 0 -2 -2 -4 50.00 - 2005-09-22 2012-07-13
138 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-12-02 2012-12-14
139 MAGUSTA FUTURES LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2013-02-26
140 SBI China Capital Commodities Limited 3 0 3 0 0 0 -3 0 -3 0.00 - 2013-07-16
141 Standard Advisory Asia Limited 3 1 4 0 0 0 -3 -1 -4 25.00 - 2007-03-09 2013-04-12
Average 2.77 4.83 7.60 2.75 5.01 7.76 63.55 64.57

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