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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2013-08-31 2014-08-31 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 16 135 151 4 24 28 90.24 89.40 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 62 65 3 53 56 0 -9 -9 95.38 94.64 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 56 59 3 52 55 0 -4 -4 94.92 94.55
4 JPMorgan Asset Management (Asia Pacific) Limited 6 36 42 5 41 46 -1 5 4 85.71 89.13
5 Standard Chartered Securities (Hong Kong) Limited 3 21 24 5 34 39 2 13 15 87.50 87.18 2012-12-17
6 Manulife Investment Management (Hong Kong) Limited 3 19 22 3 25 28 0 6 6 86.36 89.29
7 Morgan Stanley Asia Limited 5 18 23 5 23 28 0 5 5 78.26 82.14 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 4 17 21 4 18 22 0 1 1 80.95 81.82
10 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 13 18 5 13 18 0 0 0 72.22 72.22
11 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 3 2 5 5 12 17 2 10 12 40.00 70.59
12 HSBC Global Asset Management (Hong Kong) Limited 7 10 17 6 10 16 -1 0 -1 58.82 62.50
13 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 4 10 14 0 -1 -1 73.33 71.43 2016-08-31
14 NOMURA INTERNATIONAL (HONG KONG) LIMITED 3 14 17 2 12 14 -1 -2 -3 82.35 85.71
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 2 5 4 9 13 1 7 8 40.00 69.23 2011-03-14
17 GOLDMAN SACHS (ASIA) L.L.C. 3 8 11 4 7 11 1 -1 0 72.73 63.64
18 NATIXIS ASIA LIMITED 4 5 9 4 7 11 0 2 2 55.56 63.64 2008-08-05
19 BOCI COMMODITIES & FUTURES LIMITED 2 7 9 3 7 10 1 0 1 77.78 70.00 2004-11-17
20 EMPEROR FUTURES LIMITED 3 5 8 4 6 10 1 1 2 62.50 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 6 4 10 6 4 10 0 0 0 40.00 40.00
23 OCP Asia (Hong Kong) Limited 3 8 11 3 7 10 0 -1 -1 72.73 70.00 2004-09-03 2022-06-13
24 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 2 9 11 3 6 9 1 -3 -2 81.82 66.67 2008-07-03
25 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 9 12 3 6 9 0 -3 -3 75.00 66.67
26 HANG SENG FUTURES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
27 ICBC Asset Management (Global) Company Limited 2 9 11 2 7 9 0 -2 -2 81.82 77.78
28 Oasis Management (Hong Kong) 2 6 8 2 7 9 0 1 1 75.00 77.78 2004-09-14
29 PFP Capital Limited 2 6 8 3 6 9 1 0 1 75.00 66.67
30 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
31 Ark Futures (Hong Kong) Limited 2 7 9 3 5 8 1 -2 -1 77.78 62.50 2006-02-07
32 CHIEF COMMODITIES LIMITED 3 3 6 3 5 8 0 2 2 50.00 62.50 2006-05-17 2025-08-31
33 DEUTSCHE SECURITIES ASIA LIMITED 3 4 7 4 4 8 1 0 1 57.14 50.00 2004-01-08 2020-02-04
34 HAITONG INTERNATIONAL FUTURES LIMITED 3 7 10 3 5 8 0 -2 -2 70.00 62.50
35 HAMON ASSET MANAGEMENT LIMITED 2 6 8 3 5 8 1 -1 0 75.00 62.50
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 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2016-10-10
40 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 2 8 5 2 7 -1 0 -1 25.00 28.57
41 Soochow Securities International Futures Limited 2 3 5 2 5 7 0 2 2 60.00 71.43 2012-08-27
42 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 5 7 0 4 4 33.33 71.43 2024-07-30
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 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 DELTA ASIA FINANCIAL FUTURES LIMITED 4 6 10 2 4 6 -2 -2 -4 60.00 66.67
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 2 4 2 4 6 0 2 2 50.00 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 HSBC Global Asset Management Holdings (Bahamas) Limited 6 1 7 5 1 6 -1 0 -1 14.29 16.67 2020-06-02
52 OLD PEAK LIMITED (HK) 3 3 6 3 3 6 0 0 0 50.00 50.00 2005-08-26 2023-06-20
53 AXA Investment Managers Asia Limited 2 2 4 3 2 5 1 0 1 50.00 40.00 2015-06-15
54 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 2 4 3 2 5 1 0 1 50.00 40.00 2015-06-15
55 CES Capital International (Hong Kong) Co., Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2009-05-29 2023-02-23
56 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 4 2 6 2 3 5 -2 1 -1 33.33 60.00 2011-04-26
57 CNCB (Hong Kong) Capital Limited 1 4 5 1 4 5 0 0 0 80.00 80.00 2015-08-20
58 Credit Suisse (Hong Kong) Limited 3 0 3 5 0 5 2 0 2 0.00 0.00 2008-11-04 2024-09-27
59 FULBRIGHT FUTURES LIMITED 3 2 5 2 3 5 -1 1 0 40.00 60.00 2012-03-20
60 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2007-12-28 2018-09-26
61 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2010-11-26
62 GUOYUAN FUTURES (HONG KONG) LIMITED 3 0 3 4 1 5 1 1 2 0.00 20.00 2008-03-05
63 HGNH International Futures Co., Limited 4 0 4 4 1 5 0 1 1 0.00 20.00 2010-11-01
64 SDHG International Asset Management Limited 2 2 4 2 3 5 0 1 1 50.00 60.00 2008-12-02
65 TFI Asset Management Limited 0 0 0 2 3 5 2 3 5 - 60.00 2014-03-10
66 Well Link International Securities Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2012-10-04
67 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
68 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
69 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
70 Central Universe Futures Limited 0 0 0 3 1 4 3 1 4 - 25.00 2013-10-28 2021-09-15
71 CHINA XIN YONGAN FUTURES COMPANY LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2014-06-25
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 Imperium International Asset Management Limited 3 0 3 2 2 4 -1 2 1 0.00 50.00 2008-12-02
77 LT Finance Management Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2013-08-26 2019-09-25
78 METRO CAPITAL FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2014-11-26
79 MIZUHO SECURITIES ASIA LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2010-03-01 2016-05-05
80 RC Futures Advisory Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2010-05-19
81 SINOPAC SECURITIES (ASIA) LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00 2013-05-16 2017-02-12
82 TRADING CENTRAL ASIA LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2011-03-08
83 WINNINGTON CAPITAL LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00
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 BLUE POOL CAPITAL LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2004-11-10 2015-12-01
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 EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2018-09-21
89 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
90 Citigroup Global Markets Asia Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2013-01-09
91 CLSA FUTURES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2016-06-02
92 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
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 MFG Limited (HK) 3 0 3 2 1 3 -1 1 0 0.00 33.33 2010-05-24
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 2 1 3 3 0 3 1 -1 0 33.33 0.00
99 Tyric Capital Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2003-11-13
100 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
101 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
102 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
103 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2015-02-09
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 1 4 2 1 3 -1 0 -1 25.00 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 AD Capital Management (Hong Kong) Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2004-09-08
111 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
112 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
113 Changjiang Futures (HK) Limited 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2012-02-13 2024-10-25
114 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 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 ICBC (Asia) Futures Company Limited 4 0 4 2 0 2 -2 0 -2 0.00 0.00 2013-07-23 2021-08-04
120 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
121 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2015-06-22
122 MCG Management Limited 0 0 0 2 0 2 2 0 2 - 0.00 2014-02-12
123 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
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 24 28 0 0 0 -4 -24 -28 85.71 - 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
Average 2.74 5.08 7.82 2.78 5.48 8.25 64.97 66.37

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