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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2012-04-30 2013-04-30 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 11 82 93 13 105 118 2 23 25 88.17 88.98 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 70 73 3 62 65 0 -8 -8 95.89 95.38 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 54 57 3 57 60 0 3 3 94.74 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 24 29 2 5 7 86.36 82.76 2008-09-04 2013-12-19
6 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 17 22 5 19 24 0 2 2 77.27 79.17
7 Standard Chartered Securities (Hong Kong) Limited 0 0 0 2 20 22 2 20 22 - 90.91 2012-12-17
8 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 16 20 5 15 20 1 -1 0 80.00 75.00
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 16 21 5 14 19 0 -2 -2 76.19 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 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 13 17 2 14 16 -2 1 -1 76.47 87.50
13 HSBC Global Asset Management (Hong Kong) Limited 7 11 18 7 8 15 0 -3 -3 61.11 53.33
14 GET NICE FUTURES COMPANY LIMITED 2 12 14 3 11 14 1 -1 0 85.71 78.57
15 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 10 13 3 10 13 0 0 0 76.92 76.92
16 DELTA ASIA FINANCIAL FUTURES LIMITED 2 3 5 4 8 12 2 5 7 60.00 66.67
17 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 10 12 2 10 12 0 0 0 83.33 83.33 2008-07-03
18 ICBC Asset Management (Global) Company Limited 2 9 11 2 10 12 0 1 1 81.82 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 GOLDMAN SACHS (ASIA) L.L.C. 3 12 15 3 8 11 0 -4 -4 80.00 72.73
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 2 8 7 3 10 1 1 2 25.00 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 7 9 3 6 9 1 -1 0 77.78 66.67
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 NATIXIS ASIA LIMITED 2 5 7 3 5 8 1 0 1 71.43 62.50 2008-08-05
34 CHEONG LEE SECURITIES LIMITED 2 4 6 2 5 7 0 1 1 66.67 71.43 2009-08-27
35 CHIEF COMMODITIES LIMITED 3 6 9 3 4 7 0 -2 -2 66.67 57.14 2006-05-17 2025-08-31
36 DEUTSCHE SECURITIES ASIA LIMITED 3 5 8 3 4 7 0 -1 -1 62.50 57.14 2004-01-08 2020-02-04
37 GOLDMAN SACHS FUTURES (ASIA) LIMITED 5 7 12 4 3 7 -1 -4 -5 58.33 42.86 2016-10-10
38 HAMON ASSET MANAGEMENT LIMITED 2 6 8 2 5 7 0 -1 -1 75.00 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 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 2 8 6 1 7 0 -1 -1 25.00 14.29
41 PFP Capital Limited 2 6 8 2 5 7 0 -1 -1 75.00 71.43
42 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 3 3 6 2 4 6 -1 1 0 50.00 66.67 2018-12-31
43 BOCOM International Securities Limited 2 0 2 2 4 6 0 4 4 0.00 66.67 2007-09-10
44 CNCB (Hong Kong) Capital Limited 3 2 5 2 4 6 -1 2 1 40.00 66.67 2015-08-20
45 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 3 3 6 1 -1 0 66.67 50.00
46 OLD PEAK LIMITED (HK) 4 3 7 3 3 6 -1 0 -1 42.86 50.00 2005-08-26 2023-06-20
47 SG SECURITIES (HK) LIMITED 3 5 8 3 3 6 0 -2 -2 62.50 50.00 2010-11-16
48 Yuanta Securities (Hong Kong) Company Limited 0 0 0 2 4 6 2 4 6 - 66.67 2012-06-14
49 AllianceBernstein Hong Kong Limited 3 3 6 3 2 5 0 -1 -1 50.00 40.00
50 BOCI SECURITIES LIMITED 5 2 7 3 2 5 -2 0 -2 28.57 40.00 2005-10-06
51 BREVAN HOWARD (HONG KONG) LIMITED 3 3 6 4 1 5 1 -2 -1 50.00 20.00 2008-03-12 2018-05-11
52 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
53 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 4 1 5 4 1 5 0 0 0 20.00 20.00 2011-04-26
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 2 4 2 3 5 0 1 1 50.00 60.00 2011-03-14
56 SHACOM FUTURES LIMITED 3 0 3 3 2 5 0 2 2 0.00 40.00
57 SINOPAC FUTURES (ASIA) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2014-09-25
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 3 1 4 3 1 4 0 0 0 25.00 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 3 5 2 2 4 0 -1 -1 60.00 50.00 2015-06-15
62 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 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 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
67 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
68 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2010-11-26
69 HGNH International Futures Co., Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2010-11-01
70 METRO CAPITAL FUTURES LIMITED 3 4 7 2 2 4 -1 -2 -3 57.14 50.00 2014-11-26
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 UPBEST COMMODITIES COMPANY LIMITED 3 2 5 2 2 4 -1 0 -1 40.00 50.00
74 WFM Asia (HK) Limited 2 1 3 2 2 4 0 1 1 33.33 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 AD Capital Management (Hong Kong) Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2004-09-08
78 AP Asset Management (HK) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2004-08-26 2013-12-04
79 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
80 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
81 CLSA FUTURES LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2016-06-02
82 Credit Suisse (Hong Kong) Limited 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2008-11-04 2024-09-27
83 ELLIOTT ADVISORS (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 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 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-12-28 2018-09-26
90 GUODU FUTURES (HONG KONG) LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2012-12-04
91 GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2011-10-28 2014-10-31
92 INVESCO HONG KONG LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33
93 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
94 LIM ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-02-17
95 MFG Limited (HK) 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-05-24
96 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
97 Soochow Securities International Futures Limited 0 0 0 2 1 3 2 1 3 - 33.33 2012-08-27
98 Tyric Capital Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2003-11-13
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 1 3 2 1 3 0 0 0 33.33 33.33 2016-04-19
102 YUANTA FUTURES (HK) CO., LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-02-24
103 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-07-30
104 Zhonghao International Futures Co., Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2011-03-10 2013-08-02
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 2 0 2 2 0 2 0 0 0 0.00 0.00
107 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
108 ALETHEIA TECHNOLOGIES LIMITED (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2013-01-23 2014-06-11
109 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-05-07
110 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
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 2 0 2 2 0 2 0 0 0 0.00 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 Citigroup Global Markets Asia Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-01-09
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 2 0 2 2 0 2 0 0 0 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 2 0 2 2 0 2 0 0 0 0.00 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 RG ASSET MANAGEMENT COMPANY LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2013-11-25
128 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
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 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 YF ASSET MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-04-16
135 Yuanta Asia Investment (Hong Kong) Limited 3 2 5 2 0 2 -1 -2 -3 40.00 0.00 2003-08-13 2013-11-01
136 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2003-10-30 2015-04-22
137 BGC SECURITIES (HONG KONG) LLC 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-10-19 2013-01-07
138 FT Securities Limited 2 1 3 0 0 0 -2 -1 -3 33.33 - 2005-09-22 2012-07-13
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 SBI China Capital Commodities Limited 3 0 3 0 0 0 -3 0 -3 0.00 - 2013-07-16
142 Standard Advisory Asia Limited 3 1 4 0 0 0 -3 -1 -4 25.00 - 2007-03-09 2013-04-12
Average 2.79 4.79 7.59 2.71 4.94 7.65 63.18 64.55

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