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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2014-02-28 2015-02-28 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 17 123 140 16 142 158 -1 19 18 87.86 89.87 2003-12-02
2 PHILLIP COMMODITIES (H.K.) LIMITED 3 53 56 3 53 56 0 0 0 94.64 94.64
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 57 60 3 51 54 0 -6 -6 95.00 94.44 2004-10-14
4 JPMorgan Asset Management (Asia Pacific) Limited 6 40 46 6 39 45 0 -1 -1 86.96 86.67
5 Standard Chartered Securities (Hong Kong) Limited 5 30 35 4 34 38 -1 4 3 85.71 89.47 2012-12-17
6 Manulife Investment Management (Hong Kong) Limited 3 22 25 4 27 31 1 5 6 88.00 87.10
7 STATE STREET GLOBAL ADVISORS ASIA LIMITED 6 22 28 4 24 28 -2 2 0 78.57 85.71
8 Morgan Stanley Asia Limited 6 21 27 6 21 27 0 0 0 77.78 77.78 2006-04-07
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 17 22 4 17 21 -1 0 -1 77.27 80.95
10 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 4 7 11 5 16 21 1 9 10 63.64 76.19
11 BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED 5 13 18 6 13 19 1 0 1 72.22 68.42
12 HSBC Global Asset Management (Hong Kong) Limited 7 10 17 4 13 17 -3 3 0 58.82 76.47
13 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 4 11 15 0 0 0 73.33 73.33 2016-08-31
14 GET NICE FUTURES COMPANY LIMITED 3 10 13 3 10 13 0 0 0 76.92 76.92
15 Guosen Securities (HK) Brokerage Company, Limited 4 5 9 3 10 13 -1 5 4 55.56 76.92 2011-03-14
16 NATIXIS ASIA LIMITED 3 8 11 2 11 13 -1 3 2 72.73 84.62 2008-08-05
17 NOMURA INTERNATIONAL (HONG KONG) LIMITED 3 12 15 2 9 11 -1 -3 -4 80.00 81.82
18 Yuanta Securities (Hong Kong) Company Limited 2 4 6 2 9 11 0 5 5 66.67 81.82 2012-06-14
19 BOCI COMMODITIES & FUTURES LIMITED 3 5 8 4 6 10 1 1 2 62.50 60.00 2004-11-17
20 EMPEROR FUTURES LIMITED 4 6 10 4 6 10 0 0 0 60.00 60.00
21 GOLDMAN SACHS (ASIA) L.L.C. 3 8 11 3 7 10 0 -1 -1 72.73 70.00
22 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 11 14 3 7 10 0 -4 -4 78.57 70.00 2008-07-03
23 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 4 11 15 3 7 10 -1 -4 -5 73.33 70.00
24 KGI FUTURES (HONG KONG) LIMITED 6 5 11 6 4 10 0 -1 -1 45.45 40.00
25 China Securities (International) Brokerage Company Limited 0 0 0 2 7 9 2 7 9 - 77.78 2014-10-28
26 HANG SENG FUTURES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
27 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 8 10 2 7 9 0 -1 -1 80.00 77.78
28 OCP Asia (Hong Kong) Limited 3 8 11 3 6 9 0 -2 -2 72.73 66.67 2004-09-03 2022-06-13
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 CHIEF COMMODITIES LIMITED 3 3 6 3 5 8 0 2 2 50.00 62.50 2006-05-17 2025-08-31
31 CNCB (Hong Kong) Capital Limited 1 4 5 1 7 8 0 3 3 80.00 87.50 2015-08-20
32 HAITONG INTERNATIONAL FUTURES LIMITED 3 6 9 3 5 8 0 -1 -1 66.67 62.50
33 ICBC Asset Management (Global) Company Limited 2 8 10 2 6 8 0 -2 -2 80.00 75.00
34 Oasis Management (Hong Kong) 2 8 10 2 6 8 0 -2 -2 80.00 75.00 2004-09-14
35 PFP Capital Limited 2 7 9 3 5 8 1 -2 -1 77.78 62.50
36 AllianceBernstein Hong Kong Limited 3 2 5 3 4 7 0 2 2 40.00 57.14
37 Ark Futures (Hong Kong) Limited 2 6 8 2 5 7 0 -1 -1 75.00 71.43 2006-02-07
38 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2018-12-31
39 BOCI SECURITIES LIMITED 5 1 6 5 2 7 0 1 1 16.67 28.57 2005-10-06
40 DEUTSCHE SECURITIES ASIA LIMITED 3 5 8 4 3 7 1 -2 -1 62.50 42.86 2004-01-08 2020-02-04
41 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 5 7 0 4 4 33.33 71.43 2007-12-28 2018-09-26
42 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2016-10-10
43 HAMON ASSET MANAGEMENT LIMITED 2 7 9 3 4 7 1 -3 -2 77.78 57.14
44 HGNH International Financial Corporation Limited 2 1 3 4 3 7 2 2 4 33.33 42.86 2011-12-09 2016-01-27
45 YUE XIU FUTURES COMPANY LIMITED 2 0 2 2 5 7 0 5 5 0.00 71.43 2024-07-30
46 CES Capital International (Hong Kong) Co., Limited 2 2 4 2 4 6 0 2 2 50.00 66.67 2009-05-29 2023-02-23
47 CHEONG LEE SECURITIES LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2009-08-27
48 DELTA ASIA FINANCIAL FUTURES LIMITED 3 4 7 2 4 6 -1 0 -1 57.14 66.67
49 OLD PEAK LIMITED (HK) 3 3 6 3 3 6 0 0 0 50.00 50.00 2005-08-26 2023-06-20
50 SDHG International Asset Management Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2008-12-02
51 TRADING CENTRAL ASIA LIMITED 2 1 3 2 4 6 0 3 3 33.33 66.67 2011-03-08
52 AXA Investment Managers Asia Limited 2 2 4 3 2 5 1 0 1 50.00 40.00 2015-06-15
53 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 2 4 3 2 5 1 0 1 50.00 40.00 2015-06-15
54 BALLINGAL INVESTMENT ADVISORS LIMITED 1 4 5 1 4 5 0 0 0 80.00 80.00 2004-08-13
55 BOCOM International Securities Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2007-09-10
56 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2011-04-26
57 Credit Suisse (Hong Kong) Limited 5 0 5 5 0 5 0 0 0 0.00 0.00 2008-11-04 2024-09-27
58 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2024-03-21
59 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
60 HGNH International Futures Co., Limited 2 1 3 4 1 5 2 0 2 33.33 20.00 2010-11-01
61 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 2 8 3 2 5 -3 0 -3 25.00 40.00
62 Soochow Securities International Futures Limited 3 2 5 1 4 5 -2 2 0 40.00 80.00 2012-08-27
63 YUE XIU SECURITIES COMPANY LIMITED 2 0 2 2 3 5 0 3 3 0.00 60.00 2013-12-02
64 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
65 BREVAN HOWARD (HONG KONG) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2008-03-12 2018-05-11
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 3 0 3 3 1 4 0 1 1 0.00 25.00 2013-10-28 2021-09-15
69 CHINA XIN YONGAN FUTURES COMPANY LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2014-06-25
70 Citigroup Global Markets Asia Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2013-01-09
71 ENHANCED INVESTMENT PRODUCTS LIMITED 4 3 7 2 2 4 -2 -1 -3 42.86 50.00
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 FULBRIGHT FUTURES LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2012-03-20
75 GUOYUAN FUTURES (HONG KONG) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2008-03-05
76 HSBC Global Asset Management Holdings (Bahamas) Limited 6 1 7 3 1 4 -3 0 -3 14.29 25.00 2020-06-02
77 MIZUHO SECURITIES ASIA LIMITED 2 1 3 3 1 4 1 0 1 33.33 25.00 2010-03-01 2016-05-05
78 Ping An Securities (Hong Kong) Futures Company Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2012-03-30
79 RC Futures Advisory Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2010-05-19
80 SINOPAC SECURITIES (ASIA) LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00 2013-05-16 2017-02-12
81 TFI Asset Management Limited 0 0 0 2 2 4 2 2 4 - 50.00 2014-03-10
82 Tyric Capital Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2003-11-13
83 Well Link International Securities Limited 2 4 6 2 2 4 0 -2 -2 66.67 50.00 2012-10-04
84 WINTON CAPITAL ASIA LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2014-09-18
85 ZHONGRONG PT SECURITIES LIMITED 3 0 3 4 0 4 1 0 1 0.00 0.00 2010-07-30
86 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
87 Annum Asset Management (Hong Kong) Limited 2 1 3 2 1 3 0 0 0 33.33 33.33 2013-12-24
88 BLUE POOL CAPITAL LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2004-11-10 2015-12-01
89 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2018-09-21
90 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
91 CLC FUTURES LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2014-10-29 2021-04-12
92 CLSA FUTURES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2016-06-02
93 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
94 GUODU FUTURES (HONG KONG) LIMITED 2 2 4 1 2 3 -1 0 -1 50.00 66.67 2012-12-04
95 ICBC (Asia) Futures Company Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-23 2021-08-04
96 LIM ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-02-17
97 LUK FOOK FUTURES (HK) LIMITED 0 0 0 3 0 3 3 0 3 - 0.00 2015-02-26
98 MCG Management Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2014-02-12
99 MFG Limited (HK) 2 0 2 3 0 3 1 0 1 0.00 0.00 2010-05-24
100 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-03-25
101 SG SECURITIES (HK) LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2010-11-16
102 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
103 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
104 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
105 WINNINGTON CAPITAL LIMITED 2 3 5 2 1 3 0 -2 -2 60.00 33.33
106 YF ASSET MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-04-16
107 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-02-24
108 Zhonghao International Investment Consulting Co., Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2013-05-08
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 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 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 0 2 2 0 2 0 0 0 0.00 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 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-12-11 2017-01-26
119 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
120 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
121 INVESCO HONG KONG LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
122 iVenture Investment Management Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00
123 LT Finance Management Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2013-08-26 2019-09-25
124 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
125 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
126 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
127 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
128 SHACOM FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
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 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2016-04-19
133 PEAK PROSPERITY CONSULTING (HONG KONG) LIMITED 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2012-11-09 2015-07-31
134 SATTVA INVESTMENT ADVISORS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2003-10-30 2015-04-22
135 ALETHEIA TECHNOLOGIES LIMITED (HK) 2 0 2 0 0 0 -2 0 -2 0.00 - 2013-01-23 2014-06-11
136 AXIOM INVESTMENT MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2014-05-07
137 BOCI ASSET MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2014-12-24
138 GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2011-10-28 2014-10-31
139 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2015-06-22
140 METRO CAPITAL FUTURES LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2014-11-26
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 SINOPAC FUTURES (ASIA) LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2014-09-25
143 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2015-02-09
Average 2.77 5.14 7.91 2.67 5.66 8.33 65.00 67.92

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