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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2012-10-31 2013-10-31 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 11 114 125 12 121 133 1 7 8 91.20 90.98 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 66 69 3 57 60 0 -9 -9 95.65 95.00 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 56 59 3 55 58 0 -1 -1 94.92 94.83
4 JPMorgan Asset Management (Asia Pacific) Limited 7 34 41 6 40 46 -1 6 5 82.93 86.96
5 Standard Chartered Securities (Hong Kong) Limited 0 0 0 4 27 31 4 27 31 - 87.10 2012-12-17
6 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
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 18 23 6 22 28 1 4 5 78.26 78.57
8 Morgan Stanley Asia Limited 6 8 14 5 21 26 -1 13 12 57.14 80.77 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 15 20 5 13 18 0 -2 -2 75.00 72.22
12 HSBC Global Asset Management (Hong Kong) Limited 7 10 17 7 9 16 0 -1 -1 58.82 56.25
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 4 11 15 3 10 13 -1 -1 -2 73.33 76.92
15 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 7 10 4 9 13 1 2 3 70.00 69.23
16 NOMURA INTERNATIONAL (HONG KONG) LIMITED 2 14 16 3 10 13 1 -4 -3 87.50 76.92
17 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 7 9 3 9 12 1 2 3 77.78 75.00 2008-07-03
18 GOLDMAN SACHS (ASIA) L.L.C. 3 12 15 3 8 11 0 -4 -4 80.00 72.73
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 EMPEROR FUTURES LIMITED 3 7 10 4 6 10 1 -1 0 70.00 60.00
22 HAITONG INTERNATIONAL FUTURES LIMITED 4 8 12 3 7 10 -1 -1 -2 66.67 70.00
23 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 8 10 2 8 10 0 0 0 80.00 80.00
24 KGI FUTURES (HONG KONG) LIMITED 6 1 7 6 4 10 0 3 3 14.29 40.00
25 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
26 BOCI COMMODITIES & FUTURES LIMITED 3 7 10 3 6 9 0 -1 -1 70.00 66.67 2004-11-17
27 DELTA ASIA FINANCIAL FUTURES LIMITED 4 8 12 4 5 9 0 -3 -3 66.67 55.56
28 HAMON ASSET MANAGEMENT LIMITED 2 6 8 2 7 9 0 1 1 75.00 77.78
29 HANG SENG FUTURES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
30 NATIXIS ASIA LIMITED 2 5 7 4 5 9 2 0 2 71.43 55.56 2008-08-05
31 Oasis Management (Hong Kong) 2 5 7 2 7 9 0 2 2 71.43 77.78 2004-09-14
32 PFP Capital Limited 2 6 8 2 7 9 0 1 1 75.00 77.78
33 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
34 Ark Futures (Hong Kong) Limited 2 7 9 2 6 8 0 -1 -1 77.78 75.00 2006-02-07
35 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 2 6 8 0 6 6 0.00 75.00
36 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 2 8 6 2 8 0 0 0 25.00 25.00
37 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 3 5 2 5 7 0 2 2 60.00 71.43 2018-12-31
38 DEUTSCHE SECURITIES ASIA LIMITED 2 5 7 3 4 7 1 -1 0 71.43 57.14 2004-01-08 2020-02-04
39 ENHANCED INVESTMENT PRODUCTS LIMITED 2 5 7 4 3 7 2 -2 0 71.43 42.86
40 GOLDMAN SACHS FUTURES (ASIA) LIMITED 5 7 12 4 3 7 -1 -4 -5 58.33 42.86 2016-10-10
41 Guosen Securities (HK) Brokerage Company, Limited 2 2 4 3 4 7 1 2 3 50.00 57.14 2011-03-14
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 Yuanta Securities (Hong Kong) Company Limited 4 2 6 2 5 7 -2 3 1 33.33 71.43 2012-06-14
44 BALLINGAL INVESTMENT ADVISORS LIMITED 3 6 9 2 4 6 -1 -2 -3 66.67 66.67 2004-08-13
45 BOCOM International Securities Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2007-09-10
46 BREVAN HOWARD (HONG KONG) LIMITED 3 4 7 4 2 6 1 -2 -1 57.14 33.33 2008-03-12 2018-05-11
47 CHEONG LEE SECURITIES LIMITED 2 5 7 2 4 6 0 -1 -1 71.43 66.67 2009-08-27
48 CHIEF COMMODITIES LIMITED 3 5 8 3 3 6 0 -2 -2 62.50 50.00 2006-05-17 2025-08-31
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 2 0 2 2 4 6 0 4 4 0.00 66.67 2012-10-04
52 AllianceBernstein Hong Kong Limited 3 3 6 3 2 5 0 -1 -1 50.00 40.00
53 BOCI SECURITIES LIMITED 4 2 6 3 2 5 -1 0 -1 33.33 40.00 2005-10-06
54 CNCB (Hong Kong) Capital Limited 1 4 5 1 4 5 0 0 0 80.00 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 SINOPAC SECURITIES (ASIA) LIMITED 0 0 0 4 1 5 4 1 5 - 20.00 2013-05-16 2017-02-12
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 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 4 1 5 2 2 4 -2 1 -1 20.00 50.00 2011-04-26
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 GUOYUAN FUTURES (HONG KONG) LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2008-03-05
77 HGNH International Futures Co., Limited 4 0 4 4 0 4 0 0 0 0.00 0.00 2010-11-01
78 ICBC (Asia) Futures Company Limited 0 0 0 4 0 4 4 0 4 - 0.00 2013-07-23 2021-08-04
79 Imperium International Asset Management Limited 2 0 2 4 0 4 2 0 2 0.00 0.00 2008-12-02
80 METRO CAPITAL FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2014-11-26
81 SDHG International Asset Management Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2008-12-02
82 SINOPAC FUTURES (ASIA) LIMITED 4 1 5 2 2 4 -2 1 -1 20.00 50.00 2014-09-25
83 WFM Asia (HK) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2013-11-05
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 3 1 4 2 1 3 -1 0 -1 25.00 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 INVESCO HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
95 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
96 LIM ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-02-17
97 MFG Limited (HK) 2 1 3 3 0 3 1 -1 0 33.33 0.00 2010-05-24
98 MIZUHO SECURITIES ASIA LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33 2010-03-01 2016-05-05
99 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
100 RC Futures Advisory Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2010-05-19
101 SHACOM FUTURES LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33
102 TRADING CENTRAL ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-03-08
103 Tyric Capital Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2003-11-13
104 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
105 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
106 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
107 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2016-04-19
108 YUANTA FUTURES (HK) CO., LIMITED 3 0 3 2 1 3 -1 1 0 0.00 33.33 2012-02-24
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 Central Universe Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-10-28 2021-09-15
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 1 3 2 0 2 0 -1 -1 33.33 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 Funderstone Asset Management (HK) Limited 3 0 3 0 0 0 -3 0 -3 0.00 - 2013-11-14
141 GAM HONG KONG LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2013-06-19
142 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-12-02 2012-12-14
143 MAGUSTA FUTURES LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2013-02-26
144 SBI China Capital Commodities Limited 3 0 3 0 0 0 -3 0 -3 0.00 - 2013-07-16
145 Standard Advisory Asia Limited 2 1 3 0 0 0 -2 -1 -3 33.33 - 2007-03-09 2013-04-12
146 Yuanta Asia Investment (Hong Kong) Limited 4 1 5 0 0 0 -4 -1 -5 20.00 - 2003-08-13 2013-11-01
147 Zhonghao International Futures Co., Limited 4 0 4 0 0 0 -4 0 -4 0.00 - 2011-03-10 2013-08-02
Average 2.78 4.93 7.71 2.74 5.25 7.99 63.98 65.70

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