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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2012-11-30 2013-11-30 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 13 110 123 12 125 137 -1 15 14 89.43 91.24 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 63 66 3 57 60 0 -6 -6 95.45 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 17 20 3 19 22 0 2 2 85.00 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 11 18 7 9 16 0 -2 -2 61.11 56.25
13 CHARLES SCHWAB, HONG KONG, LIMITED 4 12 16 4 11 15 0 -1 -1 75.00 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 NOMURA INTERNATIONAL (HONG KONG) LIMITED 2 14 16 3 10 13 1 -4 -3 87.50 76.92
16 GOLDMAN SACHS (ASIA) L.L.C. 3 12 15 3 8 11 0 -4 -4 80.00 72.73
17 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 7 10 3 8 11 0 1 1 70.00 72.73
18 OCP Asia (Hong Kong) Limited 4 8 12 3 8 11 -1 0 -1 66.67 72.73 2004-09-03 2022-06-13
19 EMPEROR FUTURES LIMITED 3 7 10 4 6 10 1 -1 0 70.00 60.00
20 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 7 9 2 8 10 0 1 1 77.78 80.00 2008-07-03
21 HAITONG INTERNATIONAL FUTURES LIMITED 3 8 11 3 7 10 0 -1 -1 72.73 70.00
22 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 8 10 2 8 10 0 0 0 80.00 80.00
23 ICBC Asset Management (Global) Company Limited 2 9 11 2 8 10 0 -1 -1 81.82 80.00
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 2 7 9 2 7 9 0 0 0 77.78 77.78 2006-02-07
26 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 3 6 9 1 6 7 0.00 66.67
27 HAMON ASSET MANAGEMENT LIMITED 2 6 8 2 7 9 0 1 1 75.00 77.78
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 3 6 9 1 1 2 71.43 66.67 2008-08-05
30 Oasis Management (Hong Kong) 2 6 8 2 7 9 0 1 1 75.00 77.78 2004-09-14
31 PFP Capital Limited 2 6 8 2 7 9 0 1 1 75.00 77.78
32 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
33 BOCI COMMODITIES & FUTURES LIMITED 3 8 11 3 5 8 0 -3 -3 72.73 62.50 2004-11-17
34 Guosen Securities (HK) Brokerage Company, Limited 2 2 4 3 5 8 1 3 4 50.00 62.50 2011-03-14
35 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 2 8 6 2 8 0 0 0 25.00 25.00
36 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 3 5 2 5 7 0 2 2 60.00 71.43 2018-12-31
37 DELTA ASIA FINANCIAL FUTURES LIMITED 4 8 12 2 5 7 -2 -3 -5 66.67 71.43
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 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 4 3 7 2 -1 1 66.67 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 HSBC Global Asset Management Holdings (Bahamas) Limited 6 1 7 6 1 7 0 0 0 14.29 14.29 2020-06-02
42 BALLINGAL INVESTMENT ADVISORS LIMITED 3 6 9 2 4 6 -1 -2 -3 66.67 66.67 2004-08-13
43 BOCI SECURITIES LIMITED 4 2 6 4 2 6 0 0 0 33.33 33.33 2005-10-06
44 BOCOM International Securities Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2007-09-10
45 CHEONG LEE SECURITIES LIMITED 2 5 7 2 4 6 0 -1 -1 71.43 66.67 2009-08-27
46 CHIEF COMMODITIES LIMITED 3 5 8 3 3 6 0 -2 -2 62.50 50.00 2006-05-17 2025-08-31
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 Well Link International Securities Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2012-10-04
49 Yuanta Securities (Hong Kong) Company Limited 4 2 6 2 4 6 -2 2 0 33.33 66.67 2012-06-14
50 AllianceBernstein Hong Kong Limited 3 3 6 3 2 5 0 -1 -1 50.00 40.00
51 BREVAN HOWARD (HONG KONG) LIMITED 3 4 7 3 2 5 0 -2 -2 57.14 40.00 2008-03-12 2018-05-11
52 CNCB (Hong Kong) Capital Limited 1 4 5 1 4 5 0 0 0 80.00 80.00 2015-08-20
53 Credit Suisse (Hong Kong) Limited 4 0 4 5 0 5 1 0 1 0.00 0.00 2008-11-04 2024-09-27
54 SINOPAC SECURITIES (ASIA) LIMITED 0 0 0 4 1 5 4 1 5 - 20.00 2013-05-16 2017-02-12
55 Soochow Securities International Futures Limited 2 0 2 2 3 5 0 3 3 0.00 60.00 2012-08-27
56 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2015-02-09
57 WINNINGTON CAPITAL LIMITED 3 2 5 2 3 5 -1 1 0 40.00 60.00
58 ADMIS Hong Kong Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
59 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
60 AXA Investment Managers Asia Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-06-15
61 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-06-15
62 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
63 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
64 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
65 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
66 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2018-09-21
67 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 4 1 5 2 2 4 -2 1 -1 20.00 50.00 2011-04-26
68 Citigroup Global Markets Asia Limited 0 0 0 2 2 4 2 2 4 - 50.00 2013-01-09
69 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
70 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
71 FULBRIGHT FUTURES LIMITED 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2012-03-20
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 LT Finance Management Limited 0 0 0 2 2 4 2 2 4 - 50.00 2013-08-26 2019-09-25
79 METRO CAPITAL FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2014-11-26
80 SDHG International Asset Management Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2008-12-02
81 SG SECURITIES (HK) LIMITED 3 4 7 3 1 4 0 -3 -3 57.14 25.00 2010-11-16
82 SINOPAC FUTURES (ASIA) LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00 2014-09-25
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 3 1 4 3 0 3 0 -1 -1 25.00 0.00 2016-06-02
88 ELLIOTT ADVISORS (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2005-03-08 2022-03-16
89 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
90 GENERALI INVESTMENTS ASIA LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2007-12-28 2018-09-26
91 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
92 INVESCO HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 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) 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-05-24
96 MIZUHO SECURITIES ASIA LIMITED 1 0 1 2 1 3 1 1 2 0.00 33.33 2010-03-01 2016-05-05
97 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
98 RC Futures Advisory Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2010-05-19
99 SHACOM FUTURES LIMITED 3 2 5 2 1 3 -1 -1 -2 40.00 33.33
100 TRADING CENTRAL ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-03-08
101 Tyric Capital Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2003-11-13
102 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
103 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
104 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
105 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2016-04-19
106 YUANTA FUTURES (HK) CO., LIMITED 3 0 3 2 1 3 -1 1 0 0.00 33.33 2012-02-24
107 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
108 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
109 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
110 ALETHEIA TECHNOLOGIES LIMITED (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2013-01-23 2014-06-11
111 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-05-07
112 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
113 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
114 Central Universe Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-10-28 2021-09-15
115 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-06-03
116 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
117 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
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 PEAK PROSPERITY CONSULTING (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-11-09 2015-07-31
125 Ping An Securities (Hong Kong) Futures Company Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-03-30
126 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
127 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
128 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-10-30 2015-04-22
129 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
130 Sino-Rich Securities & Futures Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-06-21
131 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
132 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
133 YF ASSET MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-04-16
134 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2024-07-30
135 Zhonghao International Investment Consulting Co., Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-05-08
136 BGC SECURITIES (HONG KONG) LLC 2 0 2 0 0 0 -2 0 -2 0.00 - 2011-10-19 2013-01-07
137 Funderstone Asset Management (HK) Limited 3 0 3 0 0 0 -3 0 -3 0.00 - 2013-11-14
138 GAM HONG KONG LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2013-06-19
139 KINGDOM INVESTMENT MANAGERS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-12-02 2012-12-14
140 Pyramis Global Advisors (Hong Kong) Limited 2 9 11 0 0 0 -2 -9 -11 81.82 - 2008-07-29 2013-11-15
141 RG ASSET MANAGEMENT COMPANY LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2013-11-25
142 SBI China Capital Commodities Limited 3 0 3 0 0 0 -3 0 -3 0.00 - 2013-07-16
143 WFM Asia (HK) Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2013-11-05
144 Yuanta Asia Investment (Hong Kong) Limited 4 1 5 0 0 0 -4 -1 -5 20.00 - 2003-08-13 2013-11-01
145 Zhonghao International Futures Co., Limited 4 0 4 0 0 0 -4 0 -4 0.00 - 2011-03-10 2013-08-02
Average 2.81 4.98 7.79 2.73 5.29 8.02 63.89 65.93

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