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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2013-01-31 2014-01-31 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 12 111 123 14 125 139 2 14 16 90.24 89.93 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 54 57 0 -2 -2 94.92 94.74
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 2 2 4 5 28 33 3 26 29 50.00 84.85 2012-12-17
6 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 17 22 6 22 28 1 5 6 77.27 78.57
7 Morgan Stanley Asia Limited 6 6 12 6 21 27 0 15 15 50.00 77.78 2006-04-07
8 Manulife Investment Management (Hong Kong) Limited 2 18 20 3 20 23 1 2 3 90.00 86.96
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 17 21 5 17 22 1 0 1 80.95 77.27
10 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 14 19 5 13 18 0 -1 -1 73.68 72.22
11 HSBC Global Asset Management (Hong Kong) Limited 7 10 17 7 9 16 0 -1 -1 58.82 56.25
12 CHARLES SCHWAB, HONG KONG, LIMITED 4 12 16 4 11 15 0 -1 -1 75.00 73.33 2016-08-31
13 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 7 10 4 11 15 1 4 5 70.00 73.33
14 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 7 9 3 11 14 1 4 5 77.78 78.57 2008-07-03
15 NOMURA INTERNATIONAL (HONG KONG) LIMITED 2 14 16 3 11 14 1 -3 -2 87.50 78.57
16 GET NICE FUTURES COMPANY LIMITED 4 11 15 3 10 13 -1 -1 -2 73.33 76.92
17 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 4 8 12 2 8 10 0.00 66.67
18 GOLDMAN SACHS (ASIA) L.L.C. 3 12 15 3 8 11 0 -4 -4 80.00 72.73
19 KGI FUTURES (HONG KONG) LIMITED 6 3 9 6 5 11 0 2 2 33.33 45.45
20 NATIXIS ASIA LIMITED 3 5 8 3 8 11 0 3 3 62.50 72.73 2008-08-05
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 EMPEROR FUTURES LIMITED 3 7 10 4 6 10 1 -1 0 70.00 60.00
23 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 7 9 2 8 10 0 1 1 77.78 80.00
24 ICBC Asset Management (Global) Company Limited 2 9 11 2 8 10 0 -1 -1 81.82 80.00
25 BOCI COMMODITIES & FUTURES LIMITED 2 8 10 3 6 9 1 -2 -1 80.00 66.67 2004-11-17
26 Guosen Securities (HK) Brokerage Company, Limited 2 2 4 3 6 9 1 4 5 50.00 66.67 2011-03-14
27 HAITONG INTERNATIONAL FUTURES LIMITED 3 7 10 3 6 9 0 -1 -1 70.00 66.67
28 HAMON ASSET MANAGEMENT LIMITED 2 5 7 2 7 9 0 2 2 71.43 77.78
29 HANG SENG FUTURES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
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 5 7 2 7 9 0 2 2 71.43 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 Ark Futures (Hong Kong) Limited 2 7 9 2 6 8 0 -1 -1 77.78 75.00 2006-02-07
34 DEUTSCHE SECURITIES ASIA LIMITED 3 4 7 3 5 8 0 1 1 57.14 62.50 2004-01-08 2020-02-04
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 3 4 7 -1 -4 -5 66.67 57.14
38 ENHANCED INVESTMENT PRODUCTS LIMITED 2 4 6 4 3 7 2 -1 1 66.67 42.86
39 GOLDMAN SACHS FUTURES (ASIA) LIMITED 5 6 11 4 3 7 -1 -3 -4 54.55 42.86 2016-10-10
40 HSBC Global Asset Management Holdings (Bahamas) Limited 6 1 7 6 1 7 0 0 0 14.29 14.29 2020-06-02
41 BOCI SECURITIES LIMITED 3 2 5 4 2 6 1 0 1 40.00 33.33 2005-10-06
42 BOCOM International Securities Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2007-09-10
43 CHEONG LEE SECURITIES LIMITED 2 5 7 2 4 6 0 -1 -1 71.43 66.67 2009-08-27
44 CHIEF COMMODITIES LIMITED 3 5 8 3 3 6 0 -2 -2 62.50 50.00 2006-05-17 2025-08-31
45 OLD PEAK LIMITED (HK) 3 3 6 3 3 6 0 0 0 50.00 50.00 2005-08-26 2023-06-20
46 Well Link International Securities Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2012-10-04
47 Yuanta Securities (Hong Kong) Company Limited 4 2 6 2 4 6 -2 2 0 33.33 66.67 2012-06-14
48 AllianceBernstein Hong Kong Limited 2 4 6 3 2 5 1 -2 -1 66.67 40.00
49 BALLINGAL INVESTMENT ADVISORS LIMITED 3 5 8 2 3 5 -1 -2 -3 62.50 60.00 2004-08-13
50 BREVAN HOWARD (HONG KONG) LIMITED 4 3 7 3 2 5 -1 -1 -2 42.86 40.00 2008-03-12 2018-05-11
51 CNCB (Hong Kong) Capital Limited 1 4 5 1 4 5 0 0 0 80.00 80.00 2015-08-20
52 Credit Suisse (Hong Kong) Limited 4 0 4 5 0 5 1 0 1 0.00 0.00 2008-11-04 2024-09-27
53 GUODU FUTURES (HONG KONG) LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2012-12-04
54 SDHG International Asset Management Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2008-12-02
55 SINOPAC SECURITIES (ASIA) LIMITED 0 0 0 4 1 5 4 1 5 - 20.00 2013-05-16 2017-02-12
56 Soochow Securities International Futures Limited 2 1 3 3 2 5 1 1 2 33.33 40.00 2012-08-27
57 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2015-02-09
58 WINNINGTON CAPITAL LIMITED 3 2 5 2 3 5 -1 1 0 40.00 60.00
59 ADMIS Hong Kong Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
60 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
61 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
62 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
63 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
64 CES Capital International (Hong Kong) Co., Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2009-05-29 2023-02-23
65 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2018-09-21
66 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 4 1 5 2 2 4 -2 1 -1 20.00 50.00 2011-04-26
67 Citigroup Global Markets Asia Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2013-01-09
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 FULBRIGHT FUTURES LIMITED 3 2 5 2 2 4 -1 0 -1 40.00 50.00 2012-03-20
71 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2024-03-21
72 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2010-11-26
73 GUOYUAN FUTURES (HONG KONG) LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2008-03-05
74 LT Finance Management Limited 0 0 0 2 2 4 2 2 4 - 50.00 2013-08-26 2019-09-25
75 METRO CAPITAL FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2014-11-26
76 SG SECURITIES (HK) LIMITED 3 4 7 3 1 4 0 -3 -3 57.14 25.00 2010-11-16
77 SINOPAC FUTURES (ASIA) LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00 2014-09-25
78 AD Capital Management (Hong Kong) Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2004-09-08
79 Annum Asset Management (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2013-12-24
80 AXA Investment Managers Asia Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2015-06-15
81 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2015-06-15
82 Changjiang Futures (HK) Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2012-02-13 2024-10-25
83 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
84 CLSA FUTURES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2016-06-02
85 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
86 GENERALI INVESTMENTS ASIA LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2007-12-28 2018-09-26
87 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
88 HGNH International Financial Corporation Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2011-12-09 2016-01-27
89 ICBC (Asia) Futures Company Limited 0 0 0 3 0 3 3 0 3 - 0.00 2013-07-23 2021-08-04
90 INVESCO HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
91 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
92 LIM ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-02-17
93 MIZUHO SECURITIES ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2010-03-01 2016-05-05
94 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
95 RC Futures Advisory Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2010-05-19
96 SHACOM FUTURES LIMITED 3 2 5 2 1 3 -1 -1 -2 40.00 33.33
97 TRADING CENTRAL ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-03-08
98 Tyric Capital Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2003-11-13
99 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
100 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
101 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
102 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2016-04-19
103 YUANTA FUTURES (HK) CO., LIMITED 3 0 3 2 1 3 -1 1 0 0.00 33.33 2012-02-24
104 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
105 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
106 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
107 ALETHEIA TECHNOLOGIES LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-01-23 2014-06-11
108 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-05-07
109 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
110 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
111 Central Universe Futures Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-10-28 2021-09-15
112 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-06-03
113 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
114 ELLIOTT ADVISORS (HK) LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2005-03-08 2022-03-16
115 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
116 GRT Capital Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-12-11 2017-01-26
117 HGNH International Futures Co., Limited 4 0 4 2 0 2 -2 0 -2 0.00 0.00 2010-11-01
118 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
119 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
120 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
121 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
122 MFG Limited (HK) 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-05-24
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 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
129 Sino-Rich Securities & Futures Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-06-21
130 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
131 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
132 YF ASSET MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-04-16
133 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2024-07-30
134 YUE XIU SECURITIES COMPANY LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-12-02
135 Zhonghao International Investment Consulting Co., Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-05-08
136 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2003-10-30 2015-04-22
137 AP Asset Management (HK) Limited 3 0 3 0 0 0 -3 0 -3 0.00 - 2004-08-26 2013-12-04
138 Fidelity Management & Research (Hong Kong) Limited 5 22 27 0 0 0 -5 -22 -27 81.48 - 2008-09-04 2013-12-19
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 Pyramis Global Advisors (Hong Kong) Limited 2 9 11 0 0 0 -2 -9 -11 81.82 - 2008-07-29 2013-11-15
142 RG ASSET MANAGEMENT COMPANY LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2013-11-25
143 SBI China Capital Commodities Limited 3 0 3 0 0 0 -3 0 -3 0.00 - 2013-07-16
144 WFM Asia (HK) Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2013-11-05
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 2.78 4.88 7.65 2.75 5.14 7.89 63.69 65.14

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