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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2012-08-31 2013-08-31 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 10 112 122 12 111 123 2 -1 1 91.80 90.24 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 56 59 3 56 59 0 0 0 94.92 94.92
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 17 22 4 24 28 -1 7 6 77.27 85.71 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 Morgan Stanley Asia Limited 6 8 14 5 18 23 -1 10 9 57.14 78.26 2006-04-07
9 Manulife Investment Management (Hong Kong) Limited 3 16 19 3 19 22 0 3 3 84.21 86.36
10 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 17 21 4 17 21 0 0 0 80.95 80.95
11 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 16 21 5 13 18 0 -3 -3 76.19 72.22
12 HSBC Global Asset Management (Hong Kong) Limited 7 10 17 7 10 17 0 0 0 58.82 58.82
13 NOMURA INTERNATIONAL (HONG KONG) LIMITED 3 15 18 3 14 17 0 -1 -1 83.33 82.35
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 8 11 3 9 12 0 1 1 72.73 75.00
17 Pyramis Global Advisors (Hong Kong) Limited 2 9 11 2 10 12 0 1 1 81.82 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 8 10 2 9 11 0 1 1 80.00 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 OCP Asia (Hong Kong) Limited 4 8 12 3 8 11 -1 0 -1 66.67 72.73 2004-09-03 2022-06-13
22 DELTA ASIA FINANCIAL FUTURES LIMITED 3 2 5 4 6 10 1 4 5 40.00 60.00
23 HAITONG INTERNATIONAL FUTURES LIMITED 4 7 11 3 7 10 -1 0 -1 63.64 70.00
24 KGI FUTURES (HONG KONG) LIMITED 6 1 7 6 4 10 0 3 3 14.29 40.00
25 Ark Futures (Hong Kong) Limited 3 8 11 2 7 9 -1 -1 -2 72.73 77.78 2006-02-07
26 BOCI COMMODITIES & FUTURES LIMITED 3 6 9 2 7 9 -1 1 0 66.67 77.78 2004-11-17
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 NATIXIS ASIA LIMITED 2 5 7 4 5 9 2 0 2 71.43 55.56 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 DEUTSCHE SECURITIES ASIA LIMITED 3 4 7 3 4 7 0 0 0 57.14 57.14 2004-01-08 2020-02-04
40 GOLDMAN SACHS FUTURES (ASIA) LIMITED 5 7 12 4 3 7 -1 -4 -5 58.33 42.86 2016-10-10
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 BOCOM International Securities Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2007-09-10
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 CHIEF COMMODITIES LIMITED 3 5 8 3 3 6 0 -2 -2 62.50 50.00 2006-05-17 2025-08-31
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 ENHANCED INVESTMENT PRODUCTS LIMITED 2 5 7 3 3 6 1 -2 -1 71.43 50.00
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 4 2 6 3 3 6 -1 1 0 33.33 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 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 3 2 5 1 2 3 0.00 40.00
54 CNCB (Hong Kong) Capital Limited 1 3 4 1 4 5 0 1 1 75.00 80.00 2015-08-20
55 FULBRIGHT FUTURES LIMITED 3 2 5 3 2 5 0 0 0 40.00 40.00 2012-03-20
56 Guosen Securities (HK) Brokerage Company, Limited 2 2 4 3 2 5 1 0 1 50.00 40.00 2011-03-14
57 SINOPAC FUTURES (ASIA) LIMITED 3 1 4 3 2 5 0 1 1 25.00 40.00 2014-09-25
58 SINOPAC SECURITIES (ASIA) LIMITED 0 0 0 4 1 5 4 1 5 - 20.00 2013-05-16 2017-02-12
59 Soochow Securities International Futures Limited 3 0 3 2 3 5 -1 3 2 0.00 60.00 2012-08-27
60 WINNINGTON CAPITAL LIMITED 3 2 5 2 3 5 -1 1 0 40.00 60.00
61 ADMIS Hong Kong Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
62 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
63 AXA Investment Managers Asia Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-06-15
64 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-06-15
65 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
66 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 1 3 2 2 4 0 1 1 33.33 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 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
69 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2018-09-21
70 Citigroup Global Markets Asia Limited 0 0 0 2 2 4 2 2 4 - 50.00 2013-01-09
71 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
72 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
73 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2024-03-21
74 GUODU FUTURES (HONG KONG) LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2012-12-04
75 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2010-11-26
76 HGNH International Futures Co., Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2010-11-01
77 ICBC (Asia) Futures Company Limited 0 0 0 4 0 4 4 0 4 - 0.00 2013-07-23 2021-08-04
78 METRO CAPITAL FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2014-11-26
79 SDHG International Asset Management Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2008-12-02
80 WFM Asia (HK) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2013-11-05
81 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-02-09
82 YUANTA FUTURES (HK) CO., LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2012-02-24
83 AD Capital Management (Hong Kong) Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2004-09-08
84 AP Asset Management (HK) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2004-08-26 2013-12-04
85 Changjiang Futures (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2012-02-13 2024-10-25
86 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
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 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-12-28 2018-09-26
93 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
94 GUOYUAN FUTURES (HONG KONG) LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2008-03-05
95 Imperium International Asset Management Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2008-12-02
96 INVESCO HONG KONG LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33
97 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
98 LIM ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-02-17
99 MFG Limited (HK) 2 0 2 3 0 3 1 0 1 0.00 0.00 2010-05-24
100 MIZUHO SECURITIES ASIA LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33 2010-03-01 2016-05-05
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 RC Futures Advisory Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2010-05-19
103 SHACOM FUTURES LIMITED 3 0 3 2 1 3 -1 1 0 0.00 33.33
104 TRADING CENTRAL ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-03-08
105 Tyric Capital Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2003-11-13
106 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
107 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
108 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
109 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2016-04-19
110 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-07-30
111 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
112 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
113 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
114 ALETHEIA TECHNOLOGIES LIMITED (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2013-01-23 2014-06-11
115 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-05-07
116 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
117 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
118 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-06-03
119 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
120 FIRST SHANGHAI FUTURES LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00
121 HGNH International Financial Corporation Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-12-09 2016-01-27
122 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
123 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
124 LT Finance Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-08-26 2019-09-25
125 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
126 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-25
127 PEAK PROSPERITY CONSULTING (HONG KONG) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-11-09 2015-07-31
128 Ping An Securities (Hong Kong) Futures Company Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-03-30
129 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
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 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-06-21
134 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
135 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
136 YF ASSET MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-04-16
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 Yuanta Asia Investment (Hong Kong) Limited 4 1 5 0 0 0 -4 -1 -5 20.00 - 2003-08-13 2013-11-01
146 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 4.93 7.69 2.74 5.08 7.82 64.08 64.97

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