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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2013-05-31 2014-05-31 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 14 104 118 17 134 151 3 30 33 88.14 88.74 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 63 66 3 56 59 0 -7 -7 95.45 94.92 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 61 64 3 52 55 0 -9 -9 95.31 94.55
4 JPMorgan Asset Management (Asia Pacific) Limited 6 35 41 6 41 47 0 6 6 85.37 87.23
5 Standard Chartered Securities (Hong Kong) Limited 2 19 21 5 33 38 3 14 17 90.48 86.84 2012-12-17
6 Manulife Investment Management (Hong Kong) Limited 2 20 22 3 23 26 1 3 4 90.91 88.46
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 20 25 5 21 26 0 1 1 80.00 80.77
8 Morgan Stanley Asia Limited 5 6 11 5 20 25 0 14 14 54.55 80.00 2006-04-07
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 16 21 5 17 22 0 1 1 76.19 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 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 0 2 4 12 16 2 12 14 0.00 75.00
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 3 11 14 3 10 13 0 -1 -1 78.57 76.92
15 NOMURA INTERNATIONAL (HONG KONG) LIMITED 3 14 17 2 11 13 -1 -3 -4 82.35 84.62
16 Guosen Securities (HK) Brokerage Company, Limited 2 1 3 4 8 12 2 7 9 33.33 66.67 2011-03-14
17 GOLDMAN SACHS (ASIA) L.L.C. 3 8 11 3 8 11 0 0 0 72.73 72.73
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 3 6 9 4 6 10 1 0 1 66.67 60.00
21 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 7 9 2 8 10 0 1 1 77.78 80.00
22 KGI FUTURES (HONG KONG) LIMITED 7 3 10 6 4 10 -1 1 0 30.00 40.00
23 DEUTSCHE SECURITIES ASIA LIMITED 3 4 7 4 5 9 1 1 2 57.14 55.56 2004-01-08 2020-02-04
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 6 8 2 7 9 0 1 1 75.00 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 BOCI COMMODITIES & FUTURES LIMITED 3 7 10 2 6 8 -1 -1 -2 70.00 75.00 2004-11-17
31 HAMON ASSET MANAGEMENT LIMITED 2 5 7 2 6 8 0 1 1 71.43 75.00
32 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 1 7 6 2 8 0 1 1 14.29 25.00
33 ICBC Asset Management (Global) Company Limited 2 10 12 2 6 8 0 -4 -4 83.33 75.00
34 PFP Capital Limited 2 5 7 2 6 8 0 1 1 71.43 75.00
35 Yuanta Securities (Hong Kong) Company Limited 3 3 6 2 6 8 -1 3 2 50.00 75.00 2012-06-14
36 Ark Futures (Hong Kong) Limited 2 7 9 2 5 7 0 -2 -2 77.78 71.43 2006-02-07
37 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2018-12-31
38 DELTA ASIA FINANCIAL FUTURES LIMITED 4 8 12 3 4 7 -1 -4 -5 66.67 57.14
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 AllianceBernstein Hong Kong Limited 3 2 5 3 3 6 0 1 1 40.00 50.00
42 BOCI SECURITIES LIMITED 3 2 5 5 1 6 2 -1 1 40.00 16.67 2005-10-06
43 BOCOM International Securities Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2007-09-10
44 CHEONG LEE SECURITIES LIMITED 2 6 8 2 4 6 0 -2 -2 75.00 66.67 2009-08-27
45 CHIEF COMMODITIES LIMITED 3 4 7 3 3 6 0 -1 -1 57.14 50.00 2006-05-17 2025-08-31
46 ENHANCED INVESTMENT PRODUCTS LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00
47 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 4 6 0 3 3 33.33 66.67 2024-03-21
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 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 4 6 0 3 3 33.33 66.67 2024-07-30
50 AXA Investment Managers Asia Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2015-06-15
51 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2015-06-15
52 BALLINGAL INVESTMENT ADVISORS LIMITED 3 4 7 2 3 5 -1 -1 -2 57.14 60.00 2004-08-13
53 CNCB (Hong Kong) Capital Limited 2 4 6 1 4 5 -1 0 -1 66.67 80.00 2015-08-20
54 Credit Suisse (Hong Kong) Limited 3 0 3 5 0 5 2 0 2 0.00 0.00 2008-11-04 2024-09-27
55 FULBRIGHT FUTURES LIMITED 3 2 5 2 3 5 -1 1 0 40.00 60.00 2012-03-20
56 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2010-11-26
57 HGNH International Financial Corporation Limited 2 0 2 3 2 5 1 2 3 0.00 40.00 2011-12-09 2016-01-27
58 SDHG International Asset Management Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2008-12-02
59 SINOPAC SECURITIES (ASIA) LIMITED 3 0 3 4 1 5 1 1 2 0.00 20.00 2013-05-16 2017-02-12
60 Soochow Securities International Futures Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2012-08-27
61 TFI Asset Management Limited 0 0 0 2 3 5 2 3 5 - 60.00 2014-03-10
62 Well Link International Securities Limited 2 3 5 2 3 5 0 0 0 60.00 60.00 2012-10-04
63 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
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 2 4 2 2 4 0 0 0 50.00 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 Central Universe Futures Limited 0 0 0 3 1 4 3 1 4 - 25.00 2013-10-28 2021-09-15
68 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
69 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2018-09-21
70 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 4 1 5 2 2 4 -2 1 -1 20.00 50.00 2011-04-26
71 Citigroup Global Markets Asia Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2013-01-09
72 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
73 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
74 GUODU FUTURES (HONG KONG) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2012-12-04
75 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
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 3 1 4 -1 1 0 0.00 25.00 2010-11-01
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 2 4 2 2 4 0 0 0 50.00 50.00 2014-11-26
80 RC Futures Advisory Limited 3 1 4 2 2 4 -1 1 0 25.00 50.00 2010-05-19
81 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2015-02-09
82 WINNINGTON CAPITAL LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 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 ALETHEIA TECHNOLOGIES LIMITED (HK) 2 0 2 1 2 3 -1 2 1 0.00 66.67 2013-01-23 2014-06-11
86 Annum Asset Management (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2013-12-24
87 BREVAN HOWARD (HONG KONG) LIMITED 4 2 6 2 1 3 -2 -1 -3 33.33 33.33 2008-03-12 2018-05-11
88 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
89 CLSA FUTURES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2016-06-02
90 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
91 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-12-28 2018-09-26
92 ICBC (Asia) Futures Company Limited 0 0 0 3 0 3 3 0 3 - 0.00 2013-07-23 2021-08-04
93 INVESCO HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
94 iVenture Investment Management Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
95 LIM ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-02-17
96 MIZUHO SECURITIES ASIA LIMITED 2 0 2 1 2 3 -1 2 1 0.00 66.67 2010-03-01 2016-05-05
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 1 4 2 1 3 -1 0 -1 25.00 33.33
99 TRADING CENTRAL ASIA LIMITED 2 1 3 2 1 3 0 0 0 33.33 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 3 1 4 2 1 3 -1 0 -1 25.00 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 3 0 3 2 1 3 -1 1 0 0.00 33.33 2012-02-24
107 Zhonghao International Investment Consulting Co., Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-05-08
108 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
109 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
110 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
111 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
112 BOCI ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2014-12-24
113 Changjiang Futures (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-02-13 2024-10-25
114 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-06-03
115 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
116 ELLIOTT ADVISORS (HK) LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2005-03-08 2022-03-16
117 FIRST SHANGHAI FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
118 GRT Capital Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2013-12-11 2017-01-26
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 Securities (Hong Kong) Futures Company Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-03-30
127 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
128 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
129 SATTVA INVESTMENT ADVISORS LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2003-10-30 2015-04-22
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 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
133 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
134 YUE XIU SECURITIES COMPANY LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2013-12-02
135 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2017-01-03
136 AP Asset Management (HK) Limited 3 0 3 0 0 0 -3 0 -3 0.00 - 2004-08-26 2013-12-04
137 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2014-05-07
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 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
141 Pyramis Global Advisors (Hong Kong) Limited 2 10 12 0 0 0 -2 -10 -12 83.33 - 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 SINOPAC FUTURES (ASIA) LIMITED 3 2 5 0 0 0 -3 -2 -5 40.00 - 2014-09-25
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 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-08-13 2013-11-01
146 Zhonghao International Futures Co., Limited 3 0 3 0 0 0 -3 0 -3 0.00 - 2011-03-10 2013-08-02
Average 2.74 4.94 7.69 2.73 5.36 8.09 64.29 66.21

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