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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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:

Some data are hidden to fit your display. Rotate?

2012-07-31 2013-07-31 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 10 102 112 13 111 124 3 9 12 91.07 89.52 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 68 71 3 62 65 0 -6 -6 95.77 95.38 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 57 60 3 60 63 0 3 3 95.00 95.24
4 JPMorgan Asset Management (Asia Pacific) Limited 7 35 42 6 36 42 -1 1 0 83.33 85.71
5 Fidelity Management & Research (Hong Kong) Limited 5 18 23 4 22 26 -1 4 3 78.26 84.62 2008-09-04 2013-12-19
6 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 18 23 5 20 25 0 2 2 78.26 80.00
7 Standard Chartered Securities (Hong Kong) Limited 0 0 0 3 21 24 3 21 24 - 87.50 2012-12-17
8 Manulife Investment Management (Hong Kong) Limited 3 16 19 2 21 23 -1 5 4 84.21 91.30
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 14 18 3 14 17 -1 0 -1 77.78 82.35
12 HSBC Global Asset Management (Hong Kong) Limited 7 10 17 7 9 16 0 -1 -1 58.82 56.25
13 Morgan Stanley Asia Limited 6 8 14 5 11 16 -1 3 2 57.14 68.75 2006-04-07
14 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 4 11 15 0 0 0 73.33 73.33 2016-08-31
15 GET NICE FUTURES COMPANY LIMITED 3 11 14 3 11 14 0 0 0 78.57 78.57
16 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 9 12 3 11 14 0 2 2 75.00 78.57
17 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 9 11 2 11 13 0 2 2 81.82 84.62 2008-07-03
18 DELTA ASIA FINANCIAL FUTURES LIMITED 2 3 5 4 8 12 2 5 7 60.00 66.67
19 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
20 GOLDMAN SACHS (ASIA) L.L.C. 3 12 15 3 8 11 0 -4 -4 80.00 72.73
21 ICBC Asset Management (Global) Company Limited 2 9 11 2 9 11 0 0 0 81.82 81.82
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 Ark Futures (Hong Kong) Limited 4 8 12 2 7 9 -2 -1 -3 66.67 77.78 2006-02-07
25 HAITONG INTERNATIONAL FUTURES LIMITED 4 7 11 3 6 9 -1 -1 -2 63.64 66.67
26 HANG SENG FUTURES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
27 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 9 11 2 7 9 0 -2 -2 81.82 77.78
28 KGI FUTURES (HONG KONG) LIMITED 6 1 7 6 3 9 0 2 2 14.29 33.33
29 NATIXIS ASIA LIMITED 2 5 7 3 6 9 1 1 2 71.43 66.67 2008-08-05
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 6 9 3 5 8 0 -1 -1 66.67 62.50 2004-08-13
32 EMPEROR FUTURES LIMITED 2 8 10 3 5 8 1 -3 -2 80.00 62.50
33 HAMON ASSET MANAGEMENT LIMITED 2 6 8 2 6 8 0 0 0 75.00 75.00
34 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 2 8 6 2 8 0 0 0 25.00 25.00
35 Oasis Management (Hong Kong) 2 4 6 2 6 8 0 2 2 66.67 75.00 2004-09-14
36 PFP Capital Limited 2 6 8 2 6 8 0 0 0 75.00 75.00
37 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 3 4 7 2 5 7 -1 1 0 57.14 71.43 2018-12-31
38 CHEONG LEE SECURITIES LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2009-08-27
39 CHIEF COMMODITIES LIMITED 3 6 9 3 4 7 0 -2 -2 66.67 57.14 2006-05-17 2025-08-31
40 DEUTSCHE SECURITIES ASIA LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14 2004-01-08 2020-02-04
41 GOLDMAN SACHS FUTURES (ASIA) LIMITED 5 7 12 4 3 7 -1 -4 -5 58.33 42.86 2016-10-10
42 HSBC Global Asset Management Holdings (Bahamas) Limited 6 1 7 6 1 7 0 0 0 14.29 14.29 2020-06-02
43 BREVAN HOWARD (HONG KONG) LIMITED 2 5 7 4 2 6 2 -3 -1 71.43 33.33 2008-03-12 2018-05-11
44 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 4 1 5 4 2 6 0 1 1 20.00 33.33 2011-04-26
45 ENHANCED INVESTMENT PRODUCTS LIMITED 2 5 7 3 3 6 1 -2 -1 71.43 50.00
46 Guosen Securities (HK) Brokerage Company, Limited 2 2 4 3 3 6 1 1 2 50.00 50.00 2011-03-14
47 OLD PEAK LIMITED (HK) 3 3 6 3 3 6 0 0 0 50.00 50.00 2005-08-26 2023-06-20
48 SG SECURITIES (HK) LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2010-11-16
49 Well Link International Securities Limited 0 0 0 2 4 6 2 4 6 - 66.67 2012-10-04
50 Yuanta Securities (Hong Kong) Company Limited 3 1 4 3 3 6 0 2 2 25.00 50.00 2012-06-14
51 AllianceBernstein Hong Kong Limited 3 3 6 3 2 5 0 -1 -1 50.00 40.00
52 BOCI SECURITIES LIMITED 5 2 7 3 2 5 -2 0 -2 28.57 40.00 2005-10-06
53 BOCOM International Securities Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2007-09-10
54 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2018-09-21
55 CNCB (Hong Kong) Capital Limited 1 3 4 1 4 5 0 1 1 75.00 80.00 2015-08-20
56 FULBRIGHT FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2012-03-20
57 SINOPAC FUTURES (ASIA) LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2014-09-25
58 Soochow Securities International Futures Limited 0 0 0 2 3 5 2 3 5 - 60.00 2012-08-27
59 WINNINGTON CAPITAL LIMITED 3 2 5 2 3 5 -1 1 0 40.00 60.00
60 ADMIS Hong Kong Limited 3 1 4 3 1 4 0 0 0 25.00 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 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-06-15
63 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 2 4 2 2 4 0 0 0 50.00 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 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2011-02-15
66 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
67 CES Capital International (Hong Kong) Co., Limited 1 2 3 2 2 4 1 0 1 66.67 50.00 2009-05-29 2023-02-23
68 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
69 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
70 GUODU FUTURES (HONG KONG) LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2012-12-04
71 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2010-11-26
72 HGNH International Futures Co., Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2010-11-01
73 ICBC (Asia) Futures Company Limited 0 0 0 4 0 4 4 0 4 - 0.00 2013-07-23 2021-08-04
74 METRO CAPITAL FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2014-11-26
75 MIZUHO SECURITIES ASIA LIMITED 1 0 1 3 1 4 2 1 3 0.00 25.00 2010-03-01 2016-05-05
76 RC Futures Advisory Limited 3 1 4 3 1 4 0 0 0 25.00 25.00 2010-05-19
77 SDHG International Asset Management Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2008-12-02
78 SINOPAC SECURITIES (ASIA) LIMITED 0 0 0 3 1 4 3 1 4 - 25.00 2013-05-16 2017-02-12
79 WFM Asia (HK) Limited 2 2 4 2 2 4 0 0 0 50.00 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 AD Capital Management (Hong Kong) Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2004-09-08
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 Changjiang Futures (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2012-02-13 2024-10-25
84 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33
85 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
86 Citigroup Global Markets Asia Limited 0 0 0 2 1 3 2 1 3 - 33.33 2013-01-09
87 CLSA FUTURES LIMITED 2 2 4 3 0 3 1 -2 -1 50.00 0.00 2016-06-02
88 Credit Suisse (Hong Kong) Limited 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2008-11-04 2024-09-27
89 ELLIOTT ADVISORS (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2005-03-08 2022-03-16
90 Funderstone Asset Management (HK) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-11-14
91 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
92 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-03-21
93 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-12-28 2018-09-26
94 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
95 GUOYUAN FUTURES (HONG KONG) LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2008-03-05
96 Imperium International Asset Management Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2008-12-02
97 INVESCO HONG KONG LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33
98 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
99 LIM ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-02-17
100 MFG Limited (HK) 2 0 2 3 0 3 1 0 1 0.00 0.00 2010-05-24
101 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
102 SHACOM FUTURES LIMITED 3 0 3 2 1 3 -1 1 0 0.00 33.33
103 TRADING CENTRAL ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-03-08
104 Tyric Capital Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2003-11-13
105 UPBEST COMMODITIES COMPANY LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
106 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
107 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
108 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2016-04-19
109 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-07-30
110 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
111 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
112 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
113 ALETHEIA TECHNOLOGIES LIMITED (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2013-01-23 2014-06-11
114 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-05-07
115 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
116 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
117 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-06-03
118 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-08-28
119 FIRST SHANGHAI FUTURES LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00
120 HGNH International Financial Corporation Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-12-09 2016-01-27
121 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
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 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 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
145 Zhonghao International Futures Co., Limited 3 0 3 0 0 0 -3 0 -3 0.00 - 2011-03-10 2013-08-02
Average 2.76 4.98 7.74 2.73 5.09 7.82 64.38 65.06

Sign up for our free newsletter

Recommend Webb-site to a friend

Copyright & disclaimer, Privacy policy

Back to top