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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2013-03-31 2014-03-31 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 14 105 119 17 122 139 3 17 20 88.24 87.77 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 62 65 3 58 61 0 -4 -4 95.38 95.08 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 57 60 3 53 56 0 -4 -4 95.00 94.64
4 JPMorgan Asset Management (Asia Pacific) Limited 6 34 40 6 41 47 0 7 7 85.00 87.23
5 Standard Chartered Securities (Hong Kong) Limited 2 21 23 5 32 37 3 11 14 91.30 86.49 2012-12-17
6 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 19 24 6 21 27 1 2 3 79.17 77.78
7 Manulife Investment Management (Hong Kong) Limited 2 18 20 3 23 26 1 5 6 90.00 88.46
8 Morgan Stanley Asia Limited 6 6 12 6 20 26 0 14 14 50.00 76.92 2006-04-07
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 16 20 5 17 22 1 1 2 80.00 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 9 16 7 11 18 0 2 2 56.25 61.11
12 CHARLES SCHWAB, HONG KONG, LIMITED 4 12 16 4 11 15 0 -1 -1 75.00 73.33 2016-08-31
13 NOMURA INTERNATIONAL (HONG KONG) LIMITED 2 13 15 3 11 14 1 -2 -1 86.67 78.57
14 GET NICE FUTURES COMPANY LIMITED 3 11 14 3 10 13 0 -1 -1 78.57 76.92
15 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 3 9 12 1 9 10 0.00 75.00
16 GOLDMAN SACHS (ASIA) L.L.C. 3 9 12 3 8 11 0 -1 -1 75.00 72.73
17 KGI FUTURES (HONG KONG) LIMITED 7 3 10 6 5 11 -1 2 1 30.00 45.45
18 NATIXIS ASIA LIMITED 3 5 8 4 7 11 1 2 3 62.50 63.64 2008-08-05
19 OCP Asia (Hong Kong) Limited 3 9 12 3 8 11 0 -1 -1 75.00 72.73 2004-09-03 2022-06-13
20 EMPEROR FUTURES LIMITED 2 7 9 4 6 10 2 -1 1 77.78 60.00
21 Guosen Securities (HK) Brokerage Company, Limited 2 3 5 4 6 10 2 3 5 60.00 60.00 2011-03-14
22 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 7 9 2 8 10 0 1 1 77.78 80.00
23 Oasis Management (Hong Kong) 2 7 9 2 8 10 0 1 1 77.78 80.00 2004-09-14
24 BOCI COMMODITIES & FUTURES LIMITED 3 7 10 3 6 9 0 -1 -1 70.00 66.67 2004-11-17
25 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 9 11 3 6 9 1 -3 -2 81.82 66.67 2008-07-03
26 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 9 12 3 6 9 0 -3 -3 75.00 66.67
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 ICBC Asset Management (Global) Company Limited 2 10 12 2 7 9 0 -3 -3 83.33 77.78
31 PFP Capital Limited 2 5 7 2 7 9 0 2 2 71.43 77.78
32 Ark Futures (Hong Kong) Limited 2 7 9 2 6 8 0 -1 -1 77.78 75.00 2006-02-07
33 DEUTSCHE SECURITIES ASIA LIMITED 3 4 7 3 5 8 0 1 1 57.14 62.50 2004-01-08 2020-02-04
34 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 1 7 6 2 8 0 1 1 14.29 25.00
35 Allianz Global Investors Asia Pacific Limited (SFC:AOA171) 3 5 8 3 4 7 0 -1 -1 62.50 57.14 2007-01-12 2015-05-31
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 3 3 6 4 3 7 1 0 1 50.00 42.86
39 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 4 8 4 3 7 0 -1 -1 50.00 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 Yuanta Securities (Hong Kong) Company Limited 4 4 8 2 5 7 -2 1 -1 50.00 71.43 2012-06-14
42 AllianceBernstein Hong Kong Limited 3 3 6 3 3 6 0 0 0 50.00 50.00
43 BOCI SECURITIES LIMITED 3 2 5 5 1 6 2 -1 1 40.00 16.67 2005-10-06
44 BOCOM International Securities Limited 2 4 6 2 4 6 0 0 0 66.67 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 4 7 3 3 6 0 -1 -1 57.14 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 BALLINGAL INVESTMENT ADVISORS LIMITED 3 5 8 1 4 5 -2 -1 -3 62.50 80.00 2004-08-13
50 CNCB (Hong Kong) Capital Limited 1 4 5 1 4 5 0 0 0 80.00 80.00 2015-08-20
51 Credit Suisse (Hong Kong) Limited 4 0 4 5 0 5 1 0 1 0.00 0.00 2008-11-04 2024-09-27
52 FULBRIGHT FUTURES LIMITED 3 2 5 2 3 5 -1 1 0 40.00 60.00 2012-03-20
53 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2024-03-21
54 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2010-11-26
55 SDHG International Asset Management Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2008-12-02
56 SINOPAC SECURITIES (ASIA) LIMITED 0 0 0 4 1 5 4 1 5 - 20.00 2013-05-16 2017-02-12
57 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2015-02-09
58 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
59 AXA Investment Managers Asia Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-06-15
60 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-06-15
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 Funderstone Futures Limited 2 1 3 3 1 4 1 0 1 33.33 25.00
71 GUODU FUTURES (HONG KONG) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2012-12-04
72 GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2011-10-28 2014-10-31
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 MIZUHO SECURITIES ASIA LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00 2010-03-01 2016-05-05
77 SG SECURITIES (HK) LIMITED 3 4 7 3 1 4 0 -3 -3 57.14 25.00 2010-11-16
78 Soochow Securities International Futures Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2012-08-27
79 WINNINGTON CAPITAL LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
80 AD Capital Management (Hong Kong) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2004-09-08
81 ADMIS Hong Kong Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33
82 Annum Asset Management (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2013-12-24
83 BEA Union Investment Management Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2022-07-12
84 BREVAN HOWARD (HONG KONG) LIMITED 4 3 7 2 1 3 -2 -2 -4 42.86 33.33 2008-03-12 2018-05-11
85 Central Universe Futures Limited 0 0 0 3 0 3 3 0 3 - 0.00 2013-10-28 2021-09-15
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 0 3 3 0 3 0 0 0 0.00 0.00 2016-06-02
88 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-12-28 2018-09-26
89 HGNH International Financial Corporation Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-12-09 2016-01-27
90 HGNH International Futures Co., Limited 4 0 4 2 1 3 -2 1 -1 0.00 33.33 2010-11-01
91 ICBC (Asia) Futures Company Limited 0 0 0 3 0 3 3 0 3 - 0.00 2013-07-23 2021-08-04
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 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 1 3 2 1 3 0 0 0 33.33 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 YF ASSET MANAGEMENT LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2013-04-16
104 YUANTA FUTURES (HK) CO., LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2012-02-24
105 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2024-07-30
106 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
107 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
108 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
109 ALETHEIA TECHNOLOGIES LIMITED (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-01-23 2014-06-11
110 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-05-07
111 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
112 Changjiang Futures (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-02-13 2024-10-25
113 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-06-03
114 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
115 ELLIOTT ADVISORS (HK) LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2005-03-08 2022-03-16
116 FIRST SHANGHAI FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
117 GRT Capital Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-12-11 2017-01-26
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 MCG Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2014-02-12
122 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
123 MFG Limited (HK) 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2010-05-24
124 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2011-03-25
125 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
126 PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2008-05-29 2014-04-17
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 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
131 Sino-Rich Securities & Futures Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-06-21
132 TFI Asset Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2014-03-10
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 YUE XIU SECURITIES COMPANY LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-12-02
136 Zhonghao International Investment Consulting Co., Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-05-08
137 SATTVA INVESTMENT ADVISORS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2003-10-30 2015-04-22
138 AP Asset Management (HK) Limited 3 0 3 0 0 0 -3 0 -3 0.00 - 2004-08-26 2013-12-04
139 Fidelity Management & Research (Hong Kong) Limited 5 23 28 0 0 0 -5 -23 -28 82.14 - 2008-09-04 2013-12-19
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 Pyramis Global Advisors (Hong Kong) Limited 2 10 12 0 0 0 -2 -10 -12 83.33 - 2008-07-29 2013-11-15
143 RG ASSET MANAGEMENT COMPANY LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2013-11-25
144 SINOPAC FUTURES (ASIA) LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2014-09-25
145 WFM Asia (HK) Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2013-11-05
146 Yuanta Asia Investment (Hong Kong) Limited 4 0 4 0 0 0 -4 0 -4 0.00 - 2003-08-13 2013-11-01
147 Zhonghao International Futures Co., Limited 3 0 3 0 0 0 -3 0 -3 0.00 - 2011-03-10 2013-08-02
Average 2.75 5.01 7.76 2.74 5.12 7.86 64.57 65.09

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