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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2014-03-31 2015-03-31 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 17 122 139 16 139 155 -1 17 16 87.77 89.68 2003-12-02
2 PHILLIP COMMODITIES (H.K.) LIMITED 3 53 56 3 52 55 0 -1 -1 94.64 94.55
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 58 61 3 50 53 0 -8 -8 95.08 94.34 2004-10-14
4 JPMorgan Asset Management (Asia Pacific) Limited 6 41 47 5 39 44 -1 -2 -3 87.23 88.64
5 Standard Chartered Securities (Hong Kong) Limited 5 32 37 4 36 40 -1 4 3 86.49 90.00 2012-12-17
6 Manulife Investment Management (Hong Kong) Limited 3 23 26 4 27 31 1 4 5 88.46 87.10
7 Morgan Stanley Asia Limited 6 20 26 6 23 29 0 3 3 76.92 79.31 2006-04-07
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 6 21 27 4 24 28 -2 3 1 77.78 85.71
9 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 3 9 12 4 18 22 1 9 10 75.00 81.82
10 BARING ASSET MANAGEMENT (ASIA) LIMITED 5 17 22 4 16 20 -1 -1 -2 77.27 80.00
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 11 18 4 13 17 -3 2 -1 61.11 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 NATIXIS ASIA LIMITED 4 7 11 2 13 15 -2 6 4 63.64 86.67 2008-08-05
15 GET NICE FUTURES COMPANY LIMITED 3 10 13 3 10 13 0 0 0 76.92 76.92
16 Guosen Securities (HK) Brokerage Company, Limited 4 6 10 3 10 13 -1 4 3 60.00 76.92 2011-03-14
17 NOMURA INTERNATIONAL (HONG KONG) LIMITED 3 11 14 3 9 12 0 -2 -2 78.57 75.00
18 Yuanta Securities (Hong Kong) Company Limited 2 5 7 2 9 11 0 4 4 71.43 81.82 2012-06-14
19 BOCI COMMODITIES & FUTURES LIMITED 3 6 9 4 6 10 1 0 1 66.67 60.00 2004-11-17
20 CHIEF COMMODITIES LIMITED 3 3 6 3 7 10 0 4 4 50.00 70.00 2006-05-17 2025-08-31
21 China Securities (International) Brokerage Company Limited 0 0 0 2 8 10 2 8 10 - 80.00 2014-10-28
22 EMPEROR FUTURES LIMITED 4 6 10 4 6 10 0 0 0 60.00 60.00
23 KGI FUTURES (HONG KONG) LIMITED 6 5 11 6 4 10 0 -1 -1 45.45 40.00
24 GOLDMAN SACHS (ASIA) L.L.C. 3 8 11 3 6 9 0 -2 -2 72.73 66.67
25 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 6 9 3 6 9 0 0 0 66.67 66.67 2008-07-03
26 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 6 9 3 6 9 0 0 0 66.67 66.67
27 HANG SENG FUTURES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
28 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 8 10 2 7 9 0 -1 -1 80.00 77.78
29 OCP Asia (Hong Kong) Limited 3 8 11 3 6 9 0 -2 -2 72.73 66.67 2004-09-03 2022-06-13
30 Allianz Global Investors Asia Pacific Limited (SFC:AOA171) 3 4 7 3 5 8 0 1 1 57.14 62.50 2007-01-12 2015-05-31
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 Oasis Management (Hong Kong) 2 8 10 2 6 8 0 -2 -2 80.00 75.00 2004-09-14
34 PFP Capital Limited 2 7 9 3 5 8 1 -2 -1 77.78 62.50
35 AllianceBernstein Hong Kong Limited 3 3 6 3 4 7 0 1 1 50.00 57.14
36 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 5 7 2 5 7 0 0 0 71.43 71.43 2018-12-31
37 BOCI SECURITIES LIMITED 5 1 6 5 2 7 0 1 1 16.67 28.57 2005-10-06
38 DEUTSCHE SECURITIES ASIA LIMITED 3 5 8 4 3 7 1 -2 -1 62.50 42.86 2004-01-08 2020-02-04
39 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 5 7 0 4 4 33.33 71.43 2007-12-28 2018-09-26
40 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2016-10-10
41 HAMON ASSET MANAGEMENT LIMITED 2 7 9 3 4 7 1 -3 -2 77.78 57.14
42 ICBC Asset Management (Global) Company Limited 2 7 9 2 5 7 0 -2 -2 77.78 71.43
43 Ark Futures (Hong Kong) Limited 2 6 8 2 4 6 0 -2 -2 75.00 66.67 2006-02-07
44 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
45 CHEONG LEE SECURITIES LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2009-08-27
46 DELTA ASIA FINANCIAL FUTURES LIMITED 3 4 7 2 4 6 -1 0 -1 57.14 66.67
47 HGNH International Financial Corporation Limited 2 1 3 4 2 6 2 1 3 33.33 33.33 2011-12-09 2016-01-27
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 SDHG International Asset Management Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2008-12-02
50 TRADING CENTRAL ASIA LIMITED 2 1 3 2 4 6 0 3 3 33.33 66.67 2011-03-08
51 YUE XIU FUTURES COMPANY LIMITED 2 1 3 2 4 6 0 3 3 33.33 66.67 2024-07-30
52 BALLINGAL INVESTMENT ADVISORS LIMITED 1 4 5 1 4 5 0 0 0 80.00 80.00 2004-08-13
53 BOCOM International Securities Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2007-09-10
54 BREVAN HOWARD (HONG KONG) LIMITED 2 1 3 3 2 5 1 1 2 33.33 40.00 2008-03-12 2018-05-11
55 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2011-04-26
56 Credit Suisse (Hong Kong) Limited 5 0 5 5 0 5 0 0 0 0.00 0.00 2008-11-04 2024-09-27
57 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2024-03-21
58 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
59 HGNH International Futures Co., Limited 2 1 3 4 1 5 2 0 2 33.33 20.00 2010-11-01
60 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 2 8 3 2 5 -3 0 -3 25.00 40.00
61 Soochow Securities International Futures Limited 2 2 4 1 4 5 -1 2 1 50.00 80.00 2012-08-27
62 WINTON CAPITAL ASIA LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2014-09-18
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 3 1 4 1 -1 0 50.00 25.00 2015-06-15
65 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 2 4 3 1 4 1 -1 0 50.00 25.00 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 CHINA XIN YONGAN FUTURES COMPANY LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2014-06-25
69 Citigroup Global Markets Asia Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2013-01-09
70 ENHANCED INVESTMENT PRODUCTS LIMITED 4 3 7 2 2 4 -2 -1 -3 42.86 50.00
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 FULBRIGHT FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2012-03-20
74 GUOYUAN FUTURES (HONG KONG) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2008-03-05
75 HSBC Global Asset Management Holdings (Bahamas) Limited 6 1 7 3 1 4 -3 0 -3 14.29 25.00 2020-06-02
76 LUK FOOK FUTURES (HK) LIMITED 0 0 0 3 1 4 3 1 4 - 25.00 2015-02-26
77 MCG Management Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2014-02-12
78 MIZUHO SECURITIES ASIA LIMITED 2 2 4 3 1 4 1 -1 0 50.00 25.00 2010-03-01 2016-05-05
79 RC Futures Advisory Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2010-05-19
80 SG SECURITIES (HK) LIMITED 3 1 4 2 2 4 -1 1 0 25.00 50.00 2010-11-16
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 TFI Asset Management Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2014-03-10
83 Tyric Capital Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2003-11-13
84 Well Link International Securities Limited 2 4 6 2 2 4 0 -2 -2 66.67 50.00 2012-10-04
85 YUE XIU SECURITIES COMPANY LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00 2013-12-02
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 Central Universe Futures Limited 3 0 3 2 1 3 -1 1 0 0.00 33.33 2013-10-28 2021-09-15
90 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2018-09-21
91 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
92 CLC FUTURES LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2014-10-29 2021-04-12
93 Funderstone Futures Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33
94 GUODU FUTURES (HONG KONG) LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 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 LT Finance Management Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2013-08-26 2019-09-25
98 MFG Limited (HK) 2 0 2 3 0 3 1 0 1 0.00 0.00 2010-05-24
99 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-03-25
100 Ping An Securities (Hong Kong) Futures Company Limited 2 0 2 1 2 3 -1 2 1 0.00 66.67 2012-03-30
101 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 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 WINNINGTON CAPITAL LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
105 YF ASSET MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 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 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 1 3 2 0 2 0 -1 -1 33.33 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 CLSA FUTURES LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2016-06-02
117 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
118 FIRST SHANGHAI FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
119 GRT Capital Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-12-11 2017-01-26
120 HZ CAPITAL LIMITED (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2015-03-26 2024-06-07
121 IMPAC ASSET MANAGEMENT (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
122 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
123 INVESCO HONG KONG LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
124 iVenture Investment Management Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00
125 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
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 SHACOM FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
130 Sino-Rich Securities & Futures Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-06-21
131 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
132 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
133 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2016-04-19
134 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
135 SATTVA INVESTMENT ADVISORS LIMITED 1 0 1 1 0 1 0 0 0 0.00 0.00 2003-10-30 2015-04-22
136 ALETHEIA TECHNOLOGIES LIMITED (HK) 2 0 2 0 0 0 -2 0 -2 0.00 - 2013-01-23 2014-06-11
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 GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2011-10-28 2014-10-31
140 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2015-06-22
141 METRO CAPITAL FUTURES LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2014-11-26
142 PING AN OF CHINA ASSET MANAGEMENT (HONG KONG) COMPANY LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2008-05-29 2014-04-17
143 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2015-02-09
Average 2.74 5.12 7.86 2.65 5.60 8.25 65.09 67.86

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