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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2012-06-30 2013-06-30 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 94 105 13 108 121 2 14 16 89.52 89.26 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 70 73 3 63 66 0 -7 -7 95.89 95.45 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 58 61 3 60 63 0 2 2 95.08 95.24
4 JPMorgan Asset Management (Asia Pacific) Limited 7 34 41 6 36 42 -1 2 1 82.93 85.71
5 Fidelity Management & Research (Hong Kong) Limited 4 18 22 4 23 27 0 5 5 81.82 85.19 2008-09-04 2013-12-19
6 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 18 23 5 21 26 0 3 3 78.26 80.77
7 Manulife Investment Management (Hong Kong) Limited 3 16 19 2 21 23 -1 5 4 84.21 91.30
8 Standard Chartered Securities (Hong Kong) Limited 0 0 0 3 20 23 3 20 23 - 86.96 2012-12-17
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 18 22 5 17 22 1 -1 0 81.82 77.27
10 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 16 21 5 14 19 0 -2 -2 76.19 73.68
11 NOMURA INTERNATIONAL (HONG KONG) LIMITED 4 13 17 3 14 17 -1 1 0 76.47 82.35
12 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 4 12 16 0 1 1 73.33 75.00 2016-08-31
13 HSBC Global Asset Management (Hong Kong) Limited 7 10 17 7 9 16 0 -1 -1 58.82 56.25
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 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 9 12 3 9 12 0 0 0 75.00 75.00
17 Pyramis Global Advisors (Hong Kong) Limited 2 8 10 2 10 12 0 2 2 80.00 83.33 2008-07-29 2013-11-15
18 GOLDMAN SACHS (ASIA) L.L.C. 3 12 15 3 8 11 0 -4 -4 80.00 72.73
19 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 9 11 2 9 11 0 0 0 81.82 81.82 2008-07-03
20 ICBC Asset Management (Global) Company Limited 2 9 11 2 9 11 0 0 0 81.82 81.82
21 Morgan Stanley Asia Limited 6 8 14 5 6 11 -1 -2 -3 57.14 54.55 2006-04-07
22 OCP Asia (Hong Kong) Limited 3 10 13 3 8 11 0 -2 -2 76.92 72.73 2004-09-03 2022-06-13
23 BOCI COMMODITIES & FUTURES LIMITED 3 6 9 3 7 10 0 1 1 66.67 70.00 2004-11-17
24 HAITONG INTERNATIONAL FUTURES LIMITED 4 4 8 3 7 10 -1 3 2 50.00 70.00
25 KGI FUTURES (HONG KONG) LIMITED 6 1 7 7 3 10 1 2 3 14.29 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 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 6 9 3 5 8 0 -1 -1 66.67 62.50 2004-08-13
31 CHEONG LEE SECURITIES LIMITED 2 5 7 2 6 8 0 1 1 71.43 75.00 2009-08-27
32 EMPEROR FUTURES LIMITED 2 7 9 3 5 8 1 -2 -1 77.78 62.50
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) 2 3 5 2 6 8 0 3 3 60.00 75.00 2004-09-14
36 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 3 4 7 2 5 7 -1 1 0 57.14 71.43 2018-12-31
37 CHIEF COMMODITIES LIMITED 3 6 9 3 4 7 0 -2 -2 66.67 57.14 2006-05-17 2025-08-31
38 DEUTSCHE SECURITIES ASIA LIMITED 3 5 8 3 4 7 0 -1 -1 62.50 57.14 2004-01-08 2020-02-04
39 GOLDMAN SACHS FUTURES (ASIA) LIMITED 5 7 12 4 3 7 -1 -4 -5 58.33 42.86 2016-10-10
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 PFP Capital Limited 2 6 8 2 5 7 0 -1 -1 75.00 71.43
43 BOCOM International Securities Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2007-09-10
44 BREVAN HOWARD (HONG KONG) LIMITED 2 5 7 4 2 6 2 -3 -1 71.43 33.33 2008-03-12 2018-05-11
45 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 4 1 5 4 2 6 0 1 1 20.00 33.33 2011-04-26
46 CNCB (Hong Kong) Capital Limited 1 3 4 2 4 6 1 1 2 75.00 66.67 2015-08-20
47 ENHANCED INVESTMENT PRODUCTS LIMITED 2 5 7 3 3 6 1 -2 -1 71.43 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 SG SECURITIES (HK) LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2010-11-16
50 Well Link International Securities Limited 0 0 0 2 4 6 2 4 6 - 66.67 2012-10-04
51 Yuanta Securities (Hong Kong) Company Limited 3 1 4 3 3 6 0 2 2 25.00 50.00 2012-06-14
52 AllianceBernstein Hong Kong Limited 3 3 6 3 2 5 0 -1 -1 50.00 40.00
53 BOCI SECURITIES LIMITED 5 2 7 3 2 5 -2 0 -2 28.57 40.00 2005-10-06
54 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
55 FULBRIGHT FUTURES LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2012-03-20
56 SINOPAC FUTURES (ASIA) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2014-09-25
57 Soochow Securities International Futures Limited 0 0 0 2 3 5 2 3 5 - 60.00 2012-08-27
58 WINNINGTON CAPITAL LIMITED 3 3 6 2 3 5 -1 0 -1 50.00 60.00
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 2 4 2 2 4 0 0 0 50.00 50.00 2015-06-15
62 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 2 4 2 2 4 0 0 0 50.00 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 GUODU FUTURES (HONG KONG) LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2012-12-04
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 METRO CAPITAL FUTURES LIMITED 2 4 6 2 2 4 0 -2 -2 66.67 50.00 2014-11-26
72 RC Futures Advisory Limited 3 1 4 3 1 4 0 0 0 25.00 25.00 2010-05-19
73 SDHG International Asset Management Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2008-12-02
74 SHACOM FUTURES LIMITED 3 0 3 3 1 4 0 1 1 0.00 25.00
75 SINOPAC SECURITIES (ASIA) LIMITED 0 0 0 3 1 4 3 1 4 - 25.00 2013-05-16 2017-02-12
76 WFM Asia (HK) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2013-11-05
77 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-02-09
78 AD Capital Management (Hong Kong) Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2004-09-08
79 AP Asset Management (HK) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2004-08-26 2013-12-04
80 CES Capital International (Hong Kong) Co., Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2009-05-29 2023-02-23
81 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
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 Credit Suisse (Hong Kong) Limited 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2008-11-04 2024-09-27
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 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 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-12-28 2018-09-26
90 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
91 Guosen Securities (HK) Brokerage Company, Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2011-03-14
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) 2 0 2 3 0 3 1 0 1 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 TRADING CENTRAL ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-03-08
98 Tyric Capital Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2003-11-13
99 UPBEST COMMODITIES COMPANY LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 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 1 3 2 1 3 0 0 0 33.33 33.33 2016-04-19
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 3 0 3 3 0 3 0 0 0 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 INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-06-03
114 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-08-28
115 Citigroup Global Markets Asia Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-01-09
116 FIRST SHANGHAI FUTURES LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00
117 GUOYUAN FUTURES (HONG KONG) LIMITED 1 0 1 2 0 2 1 0 1 0.00 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 1 0 1 2 0 2 1 0 1 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 1 0 1 2 0 2 1 0 1 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 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
129 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-10-30 2015-04-22
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 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-06-21
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 4 1 5 2 0 2 -2 -1 -3 20.00 0.00 2003-08-13 2013-11-01
136 YUANTA FUTURES (HK) CO., LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-02-24
137 Zhonghao International Investment Consulting Co., Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-05-08
138 RG ASSET MANAGEMENT COMPANY LIMITED 3 0 3 1 0 1 -2 0 -2 0.00 0.00 2013-11-25
139 BGC SECURITIES (HONG KONG) LLC 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-10-19 2013-01-07
140 GAM HONG KONG LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2013-06-19
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 SBI China Capital Commodities Limited 3 0 3 0 0 0 -3 0 -3 0.00 - 2013-07-16
144 Standard Advisory Asia Limited 2 1 3 0 0 0 -2 -1 -3 33.33 - 2007-03-09 2013-04-12
Average 2.76 4.92 7.67 2.72 4.98 7.70 64.07 64.69

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