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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2013-07-31 2014-07-31 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 13 111 124 16 135 151 3 24 27 89.52 89.40 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 62 65 3 52 55 0 -10 -10 95.38 94.55 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 60 63 3 51 54 0 -9 -9 95.24 94.44
4 JPMorgan Asset Management (Asia Pacific) Limited 6 36 42 5 40 45 -1 4 3 85.71 88.89
5 Standard Chartered Securities (Hong Kong) Limited 3 21 24 5 33 38 2 12 14 87.50 86.84 2012-12-17
6 Manulife Investment Management (Hong Kong) Limited 2 21 23 3 24 27 1 3 4 91.30 88.89
7 Morgan Stanley Asia Limited 5 11 16 5 22 27 0 11 11 68.75 81.48 2006-04-07
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 20 25 5 22 27 0 2 2 80.00 81.48
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 17 22 4 19 23 -1 2 1 77.27 82.61
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 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 2 1 3 5 10 15 3 9 12 33.33 66.67
13 NOMURA INTERNATIONAL (HONG KONG) LIMITED 3 14 17 2 13 15 -1 -1 -2 82.35 86.67
14 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 4 10 14 0 -1 -1 73.33 71.43 2016-08-31
15 GET NICE FUTURES COMPANY LIMITED 3 11 14 3 10 13 0 -1 -1 78.57 76.92
16 Guosen Securities (HK) Brokerage Company, Limited 3 3 6 4 9 13 1 6 7 50.00 69.23 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 6 9 4 7 11 1 1 2 66.67 63.64 2008-08-05
19 EMPEROR FUTURES LIMITED 3 5 8 4 6 10 1 1 2 62.50 60.00
20 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 7 9 2 8 10 0 1 1 77.78 80.00
21 ICBC Asset Management (Global) Company Limited 2 9 11 3 7 10 1 -2 -1 81.82 70.00
22 KGI FUTURES (HONG KONG) LIMITED 6 3 9 6 4 10 0 1 1 33.33 40.00
23 Oasis Management (Hong Kong) 2 6 8 2 8 10 0 2 2 75.00 80.00 2004-09-14
24 OCP Asia (Hong Kong) Limited 3 8 11 3 7 10 0 -1 -1 72.73 70.00 2004-09-03 2022-06-13
25 BOCI COMMODITIES & FUTURES LIMITED 3 7 10 3 6 9 0 -1 -1 70.00 66.67 2004-11-17
26 DEUTSCHE SECURITIES ASIA LIMITED 3 4 7 4 5 9 1 1 2 57.14 55.56 2004-01-08 2020-02-04
27 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 11 13 3 6 9 1 -5 -4 84.62 66.67 2008-07-03
28 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 11 14 3 6 9 0 -5 -5 78.57 66.67
29 HANG SENG FUTURES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
30 PFP Capital Limited 2 6 8 2 7 9 0 1 1 75.00 77.78
31 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
32 Ark Futures (Hong Kong) Limited 2 7 9 3 5 8 1 -2 -1 77.78 62.50 2006-02-07
33 HAITONG INTERNATIONAL FUTURES LIMITED 3 6 9 3 5 8 0 -1 -1 66.67 62.50
34 HAMON ASSET MANAGEMENT LIMITED 2 6 8 2 6 8 0 0 0 75.00 75.00
35 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 2 8 6 2 8 0 0 0 25.00 25.00
36 Yuanta Securities (Hong Kong) Company Limited 3 3 6 2 6 8 -1 3 2 50.00 75.00 2012-06-14
37 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2018-12-31
38 BOCI SECURITIES LIMITED 3 2 5 5 2 7 2 0 2 40.00 28.57 2005-10-06
39 DELTA ASIA FINANCIAL FUTURES LIMITED 4 8 12 3 4 7 -1 -4 -5 66.67 57.14
40 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 3 7 4 3 7 0 0 0 42.86 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 Soochow Securities International Futures Limited 2 3 5 2 5 7 0 2 2 60.00 71.43 2012-08-27
43 AllianceBernstein Hong Kong Limited 3 2 5 3 3 6 0 1 1 40.00 50.00
44 BALLINGAL INVESTMENT ADVISORS LIMITED 3 5 8 2 4 6 -1 -1 -2 62.50 66.67 2004-08-13
45 BOCOM International Securities Limited 2 3 5 2 4 6 0 1 1 60.00 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 ENHANCED INVESTMENT PRODUCTS LIMITED 3 3 6 3 3 6 0 0 0 50.00 50.00
49 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 1 3 2 4 6 0 3 3 33.33 66.67 2024-03-21
50 HGNH International Financial Corporation Limited 2 0 2 4 2 6 2 2 4 0.00 33.33 2011-12-09 2016-01-27
51 OLD PEAK LIMITED (HK) 3 3 6 3 3 6 0 0 0 50.00 50.00 2005-08-26 2023-06-20
52 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 4 6 0 3 3 33.33 66.67 2024-07-30
53 CNCB (Hong Kong) Capital Limited 1 4 5 1 4 5 0 0 0 80.00 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 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2007-12-28 2018-09-26
57 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2010-11-26
58 GUOYUAN FUTURES (HONG KONG) LIMITED 3 0 3 3 2 5 0 2 2 0.00 40.00 2008-03-05
59 HGNH International Futures Co., Limited 4 0 4 4 1 5 0 1 1 0.00 20.00 2010-11-01
60 SDHG International Asset Management Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2008-12-02
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 4 6 2 3 5 0 -1 -1 66.67 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 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 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
67 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
68 Central Universe Futures Limited 0 0 0 3 1 4 3 1 4 - 25.00 2013-10-28 2021-09-15
69 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
70 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 4 2 6 2 2 4 -2 0 -2 33.33 50.00 2011-04-26
71 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
72 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
73 GUODU FUTURES (HONG KONG) LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2012-12-04
74 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
75 LT Finance Management Limited 0 0 0 2 2 4 2 2 4 - 50.00 2013-08-26 2019-09-25
76 METRO CAPITAL FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2014-11-26
77 MIZUHO SECURITIES ASIA LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2010-03-01 2016-05-05
78 RC Futures Advisory Limited 3 1 4 2 2 4 -1 1 0 25.00 50.00 2010-05-19
79 SHACOM FUTURES LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00
80 SINOPAC SECURITIES (ASIA) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2013-05-16 2017-02-12
81 TRADING CENTRAL ASIA LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2011-03-08
82 WINNINGTON CAPITAL LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00
83 ADMIS Hong Kong Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33
84 Annum Asset Management (Hong Kong) Limited 0 0 0 2 1 3 2 1 3 - 33.33 2013-12-24
85 BLUE POOL CAPITAL LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2004-11-10 2015-12-01
86 BREVAN HOWARD (HONG KONG) LIMITED 4 2 6 2 1 3 -2 -1 -3 33.33 33.33 2008-03-12 2018-05-11
87 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 2 5 2 1 3 -1 -1 -2 40.00 33.33 2018-09-21
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 Citigroup Global Markets Asia Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-01-09
90 CLSA FUTURES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2016-06-02
91 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
92 ICBC (Asia) Futures Company Limited 4 0 4 3 0 3 -1 0 -1 0.00 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 SG SECURITIES (HK) LIMITED 3 3 6 2 1 3 -1 -2 -3 50.00 33.33 2010-11-16
97 Tyric Capital Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2003-11-13
98 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
99 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
100 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
101 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2015-02-09
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 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-04-16
104 YUANTA FUTURES (HK) CO., LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-02-24
105 Zhonghao International Investment Consulting Co., Limited 2 0 2 3 0 3 1 0 1 0.00 0.00 2013-05-08
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 AD Capital Management (Hong Kong) Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2004-09-08
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 Changjiang Futures (HK) Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2012-02-13 2024-10-25
112 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 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 CHINA XIN YONGAN FUTURES COMPANY LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2014-06-25
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 0 2 2 0 2 0 0 0 0.00 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 1 3 2 0 2 0 -1 -1 33.33 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 2 0 2 2 0 2 0 0 0 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 ALETHEIA TECHNOLOGIES LIMITED (HK) 2 0 2 0 0 0 -2 0 -2 0.00 - 2013-01-23 2014-06-11
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 BOCI ASSET MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2014-12-24
139 Fidelity Management & Research (Hong Kong) Limited 4 22 26 0 0 0 -4 -22 -26 84.62 - 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 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 1 0 1 0 0 0 -1 0 -1 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
Average 2.73 5.09 7.82 2.78 5.41 8.19 65.06 66.09

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