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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2012-09-30 2013-09-30 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 11 115 126 12 115 127 1 0 1 91.27 90.55 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 66 69 3 58 61 0 -8 -8 95.65 95.08 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 56 59 3 57 60 0 1 1 94.92 95.00
4 JPMorgan Asset Management (Asia Pacific) Limited 7 33 40 6 39 45 -1 6 5 82.50 86.67
5 Fidelity Management & Research (Hong Kong) Limited 5 22 27 4 25 29 -1 3 2 81.48 86.21 2008-09-04 2013-12-19
6 Standard Chartered Securities (Hong Kong) Limited 0 0 0 3 24 27 3 24 27 - 88.89 2012-12-17
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 18 23 5 22 27 0 4 4 78.26 81.48
8 Morgan Stanley Asia Limited 6 8 14 5 19 24 -1 11 10 57.14 79.17 2006-04-07
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 17 21 4 18 22 0 1 1 80.95 81.82
10 Manulife Investment Management (Hong Kong) Limited 3 16 19 3 19 22 0 3 3 84.21 86.36
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 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 4 11 15 0 0 0 73.33 73.33 2016-08-31
14 GET NICE FUTURES COMPANY LIMITED 3 11 14 3 11 14 0 0 0 78.57 78.57
15 NOMURA INTERNATIONAL (HONG KONG) LIMITED 3 14 17 3 10 13 0 -4 -4 82.35 76.92
16 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 7 10 4 8 12 1 1 2 70.00 66.67
17 GOLDMAN SACHS (ASIA) L.L.C. 3 12 15 3 8 11 0 -4 -4 80.00 72.73
18 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 7 9 3 8 11 1 1 2 77.78 72.73 2008-07-03
19 ICBC Asset Management (Global) Company Limited 2 9 11 2 9 11 0 0 0 81.82 81.82
20 OCP Asia (Hong Kong) Limited 4 8 12 3 8 11 -1 0 -1 66.67 72.73 2004-09-03 2022-06-13
21 DELTA ASIA FINANCIAL FUTURES LIMITED 4 5 9 4 6 10 0 1 1 55.56 60.00
22 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 9 11 2 8 10 0 -1 -1 81.82 80.00
23 KGI FUTURES (HONG KONG) LIMITED 6 1 7 6 4 10 0 3 3 14.29 40.00
24 Pyramis Global Advisors (Hong Kong) Limited 2 9 11 2 8 10 0 -1 -1 81.82 80.00 2008-07-29 2013-11-15
25 BOCI COMMODITIES & FUTURES LIMITED 4 5 9 3 6 9 -1 1 0 55.56 66.67 2004-11-17
26 EMPEROR FUTURES LIMITED 3 7 10 4 5 9 1 -2 -1 70.00 55.56
27 HAITONG INTERNATIONAL FUTURES LIMITED 4 8 12 3 6 9 -1 -2 -3 66.67 66.67
28 HANG SENG FUTURES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
29 NATIXIS ASIA LIMITED 2 5 7 4 5 9 2 0 2 71.43 55.56 2008-08-05
30 Oasis Management (Hong Kong) 2 4 6 2 7 9 0 3 3 66.67 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 Ark Futures (Hong Kong) Limited 3 7 10 2 6 8 -1 -1 -2 70.00 75.00 2006-02-07
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 PFP Capital Limited 2 6 8 2 6 8 0 0 0 75.00 75.00
36 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 3 5 2 5 7 0 2 2 60.00 71.43 2018-12-31
37 CHEONG LEE SECURITIES LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2009-08-27
38 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 5 7 0 5 5 0.00 71.43
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 Yuanta Securities (Hong Kong) Company Limited 4 2 6 2 5 7 -2 3 1 33.33 71.43 2012-06-14
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 3 4 7 4 2 6 1 -2 -1 57.14 33.33 2008-03-12 2018-05-11
45 CHIEF COMMODITIES LIMITED 3 5 8 3 3 6 0 -2 -2 62.50 50.00 2006-05-17 2025-08-31
46 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 4 1 5 4 2 6 0 1 1 20.00 33.33 2011-04-26
47 ENHANCED INVESTMENT PRODUCTS LIMITED 2 5 7 3 3 6 1 -2 -1 71.43 50.00
48 Guosen Securities (HK) Brokerage Company, Limited 2 2 4 3 3 6 1 1 2 50.00 50.00 2011-03-14
49 OLD PEAK LIMITED (HK) 3 3 6 3 3 6 0 0 0 50.00 50.00 2005-08-26 2023-06-20
50 SG SECURITIES (HK) LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2010-11-16
51 Well Link International Securities Limited 0 0 0 2 4 6 2 4 6 - 66.67 2012-10-04
52 AllianceBernstein Hong Kong Limited 3 3 6 3 2 5 0 -1 -1 50.00 40.00
53 BALLINGAL INVESTMENT ADVISORS LIMITED 3 6 9 2 3 5 -1 -3 -4 66.67 60.00 2004-08-13
54 BOCI SECURITIES LIMITED 5 2 7 3 2 5 -2 0 -2 28.57 40.00 2005-10-06
55 CNCB (Hong Kong) Capital Limited 1 4 5 1 4 5 0 0 0 80.00 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 Soochow Securities International Futures Limited 2 0 2 2 3 5 0 3 3 0.00 60.00 2012-08-27
58 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2015-02-09
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 2 2 4 2 2 4 0 0 0 50.00 50.00 2009-05-29 2023-02-23
68 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2018-09-21
69 Citigroup Global Markets Asia Limited 0 0 0 2 2 4 2 2 4 - 50.00 2013-01-09
70 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
71 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
72 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2024-03-21
73 GUODU FUTURES (HONG KONG) LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2012-12-04
74 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2010-11-26
75 GUOYUAN FUTURES (HONG KONG) LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2008-03-05
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 SINOPAC FUTURES (ASIA) LIMITED 4 1 5 2 2 4 -2 1 -1 20.00 50.00 2014-09-25
81 SINOPAC SECURITIES (ASIA) LIMITED 0 0 0 3 1 4 3 1 4 - 25.00 2013-05-16 2017-02-12
82 WFM Asia (HK) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2013-11-05
83 YUANTA FUTURES (HK) CO., LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2012-02-24
84 AD Capital Management (Hong Kong) Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2004-09-08
85 AP Asset Management (HK) Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2004-08-26 2013-12-04
86 Changjiang Futures (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2012-02-13 2024-10-25
87 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
88 CLSA FUTURES LIMITED 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2016-06-02
89 Credit Suisse (Hong Kong) Limited 4 0 4 3 0 3 -1 0 -1 0.00 0.00 2008-11-04 2024-09-27
90 ELLIOTT ADVISORS (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2005-03-08 2022-03-16
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 Imperium International Asset Management Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2008-12-02
95 INVESCO HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
96 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
97 LIM ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-02-17
98 MFG Limited (HK) 2 0 2 3 0 3 1 0 1 0.00 0.00 2010-05-24
99 MIZUHO SECURITIES ASIA LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33 2010-03-01 2016-05-05
100 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
101 RC Futures Advisory Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2010-05-19
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 1 3 2 1 3 0 0 0 33.33 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 2 0 2 2 0 2 0 0 0 0.00 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 LT Finance Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-08-26 2019-09-25
124 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
125 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-25
126 PEAK PROSPERITY CONSULTING (HONG KONG) LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2012-11-09 2015-07-31
127 Ping An Securities (Hong Kong) Futures Company Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-03-30
128 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
129 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
130 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-10-30 2015-04-22
131 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
132 Sino-Rich Securities & Futures Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-06-21
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 YF ASSET MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-04-16
136 Zhonghao International Investment Consulting Co., Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-05-08
137 RG ASSET MANAGEMENT COMPANY LIMITED 3 0 3 1 0 1 -2 0 -2 0.00 0.00 2013-11-25
138 BGC SECURITIES (HONG KONG) LLC 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-10-19 2013-01-07
139 Funderstone Asset Management (HK) Limited 3 0 3 0 0 0 -3 0 -3 0.00 - 2013-11-14
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 1 0 1 0 0 0 -1 0 -1 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 4 0 4 0 0 0 -4 0 -4 0.00 - 2011-03-10 2013-08-02
Average 2.80 4.93 7.72 2.73 5.18 7.91 63.77 65.50

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