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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2013-04-30 2014-04-30 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 13 105 118 17 127 144 4 22 26 88.98 88.19 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 20 22 5 32 37 3 12 15 90.91 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 22 25 1 4 5 90.00 88.00
8 Morgan Stanley Asia Limited 6 6 12 5 19 24 -1 13 12 50.00 79.17 2006-04-07
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 15 20 5 17 22 0 2 2 75.00 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 8 15 7 11 18 0 3 3 53.33 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 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 4 9 13 2 9 11 0.00 69.23
14 GET NICE FUTURES COMPANY LIMITED 3 11 14 3 10 13 0 -1 -1 78.57 76.92
15 NOMURA INTERNATIONAL (HONG KONG) LIMITED 2 14 16 2 11 13 0 -3 -3 87.50 84.62
16 GOLDMAN SACHS (ASIA) L.L.C. 3 8 11 3 8 11 0 0 0 72.73 72.73
17 Guosen Securities (HK) Brokerage Company, Limited 2 3 5 4 7 11 2 4 6 60.00 63.64 2011-03-14
18 KGI FUTURES (HONG KONG) LIMITED 7 3 10 6 5 11 -1 2 1 30.00 45.45
19 NATIXIS ASIA LIMITED 3 5 8 4 7 11 1 2 3 62.50 63.64 2008-08-05
20 OCP Asia (Hong Kong) Limited 3 9 12 3 8 11 0 -1 -1 75.00 72.73 2004-09-03 2022-06-13
21 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 7 9 2 8 10 0 1 1 77.78 80.00
22 DEUTSCHE SECURITIES ASIA LIMITED 3 4 7 4 5 9 1 1 2 57.14 55.56 2004-01-08 2020-02-04
23 EMPEROR FUTURES LIMITED 3 6 9 4 5 9 1 -1 0 66.67 55.56
24 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 10 12 3 6 9 1 -4 -3 83.33 66.67 2008-07-03
25 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 10 13 3 6 9 0 -4 -4 76.92 66.67
26 HAITONG INTERNATIONAL FUTURES LIMITED 3 7 10 3 6 9 0 -1 -1 70.00 66.67
27 HANG SENG FUTURES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
28 Oasis Management (Hong Kong) 2 7 9 2 7 9 0 0 0 77.78 77.78 2004-09-14
29 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
30 Ark Futures (Hong Kong) Limited 2 7 9 2 6 8 0 -1 -1 77.78 75.00 2006-02-07
31 BOCI COMMODITIES & FUTURES LIMITED 3 7 10 2 6 8 -1 -1 -2 70.00 75.00 2004-11-17
32 HAMON ASSET MANAGEMENT LIMITED 2 5 7 2 6 8 0 1 1 71.43 75.00
33 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 1 7 6 2 8 0 1 1 14.29 25.00
34 ICBC Asset Management (Global) Company Limited 2 10 12 2 6 8 0 -4 -4 83.33 75.00
35 PFP Capital Limited 2 5 7 2 6 8 0 1 1 71.43 75.00
36 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 4 6 2 5 7 0 1 1 66.67 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 3 7 4 3 7 0 0 0 42.86 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 2 4 6 2 5 7 0 1 1 66.67 71.43 2012-06-14
42 AllianceBernstein Hong Kong Limited 3 2 5 3 3 6 0 1 1 40.00 50.00
43 BALLINGAL INVESTMENT ADVISORS LIMITED 3 5 8 2 4 6 -1 -1 -2 62.50 66.67 2004-08-13
44 BOCI SECURITIES LIMITED 3 2 5 5 1 6 2 -1 1 40.00 16.67 2005-10-06
45 BOCOM International Securities Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2007-09-10
46 CHEONG LEE SECURITIES LIMITED 2 5 7 2 4 6 0 -1 -1 71.43 66.67 2009-08-27
47 CHIEF COMMODITIES LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2006-05-17 2025-08-31
48 OLD PEAK LIMITED (HK) 3 3 6 3 3 6 0 0 0 50.00 50.00 2005-08-26 2023-06-20
49 Well Link International Securities Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2012-10-04
50 CNCB (Hong Kong) Capital Limited 2 4 6 1 4 5 -1 0 -1 66.67 80.00 2015-08-20
51 Credit Suisse (Hong Kong) Limited 3 0 3 5 0 5 2 0 2 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 HGNH International Financial Corporation Limited 2 0 2 3 2 5 1 2 3 0.00 40.00 2011-12-09 2016-01-27
56 SDHG International Asset Management Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2008-12-02
57 SINOPAC SECURITIES (ASIA) LIMITED 0 0 0 4 1 5 4 1 5 - 20.00 2013-05-16 2017-02-12
58 Soochow Securities International Futures Limited 2 1 3 2 3 5 0 2 2 33.33 60.00 2012-08-27
59 TFI Asset Management Limited 0 0 0 2 3 5 2 3 5 - 60.00 2014-03-10
60 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2015-02-09
61 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2024-07-30
62 ALETHEIA TECHNOLOGIES LIMITED (HK) 2 0 2 2 2 4 0 2 2 0.00 50.00 2013-01-23 2014-06-11
63 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
64 AXA Investment Managers Asia Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-06-15
65 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-06-15
66 BLUE POOL CAPITAL LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2004-11-10 2015-12-01
67 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
68 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
69 Central Universe Futures Limited 0 0 0 3 1 4 3 1 4 - 25.00 2013-10-28 2021-09-15
70 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
71 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2018-09-21
72 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 4 1 5 2 2 4 -2 1 -1 20.00 50.00 2011-04-26
73 Citigroup Global Markets Asia Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2013-01-09
74 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
75 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
76 GUODU FUTURES (HONG KONG) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2012-12-04
77 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
78 GUOYUAN FUTURES (HONG KONG) LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2008-03-05
79 HGNH International Futures Co., Limited 4 0 4 3 1 4 -1 1 0 0.00 25.00 2010-11-01
80 LT Finance Management Limited 0 0 0 2 2 4 2 2 4 - 50.00 2013-08-26 2019-09-25
81 METRO CAPITAL FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2014-11-26
82 WINNINGTON CAPITAL LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00
83 AD Capital Management (Hong Kong) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2004-09-08
84 ADMIS Hong Kong Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33
85 Annum Asset Management (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2013-12-24
86 BREVAN HOWARD (HONG KONG) LIMITED 4 1 5 2 1 3 -2 0 -2 20.00 33.33 2008-03-12 2018-05-11
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 0 3 3 0 3 0 0 0 0.00 0.00 2016-06-02
89 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
90 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-12-28 2018-09-26
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 MIZUHO SECURITIES ASIA LIMITED 2 0 2 1 2 3 -1 2 1 0.00 66.67 2010-03-01 2016-05-05
96 RC Futures Advisory Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2010-05-19
97 SG SECURITIES (HK) LIMITED 3 3 6 2 1 3 -1 -2 -3 50.00 33.33 2010-11-16
98 SHACOM FUTURES LIMITED 3 2 5 2 1 3 -1 -1 -2 40.00 33.33
99 TRADING CENTRAL ASIA LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-03-08
100 Tyric Capital Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2003-11-13
101 UPBEST COMMODITIES COMPANY LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
102 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
103 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
104 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2016-04-19
105 YF ASSET MANAGEMENT LIMITED 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-04-16
106 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 2 1 3 0 0 0 33.33 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 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
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 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
119 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
120 MCG Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2014-02-12
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 YUE XIU SECURITIES COMPANY LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-12-02
133 Zhonghao International Investment Consulting Co., Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-05-08
134 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2014-05-07
135 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2017-01-03
136 SATTVA INVESTMENT ADVISORS LIMITED 1 0 1 1 0 1 0 0 0 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 24 29 0 0 0 -5 -24 -29 82.76 - 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 PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED 3 0 3 0 0 0 -3 0 -3 0.00 - 2008-05-29 2014-04-17
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 2 5 0 0 0 -3 -2 -5 40.00 - 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 2 0 2 0 0 0 -2 0 -2 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 2.71 4.94 7.65 2.73 5.22 7.95 64.55 65.68

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