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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2014-04-30 2015-04-30 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 17 127 144 15 136 151 -2 9 7 88.19 90.07 2003-12-02
2 PHILLIP COMMODITIES (H.K.) LIMITED 3 53 56 3 50 53 0 -3 -3 94.64 94.34
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 58 61 3 49 52 0 -9 -9 95.08 94.23 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 5 35 40 0 3 3 86.49 87.50 2012-12-17
6 Manulife Investment Management (Hong Kong) Limited 3 22 25 4 28 32 1 6 7 88.00 87.50
7 Morgan Stanley Asia Limited 5 19 24 6 25 31 1 6 7 79.17 80.65 2006-04-07
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 6 21 27 4 25 29 -2 4 2 77.78 86.21
9 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 4 9 13 5 18 23 1 9 10 69.23 78.26
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 7 11 3 10 13 -1 3 2 63.64 76.92 2011-03-14
17 NOMURA INTERNATIONAL (HONG KONG) LIMITED 2 11 13 4 9 13 2 -2 0 84.62 69.23
18 Yuanta Securities (Hong Kong) Company Limited 2 5 7 2 9 11 0 4 4 71.43 81.82 2012-06-14
19 CHIEF COMMODITIES LIMITED 3 3 6 3 7 10 0 4 4 50.00 70.00 2006-05-17 2025-08-31
20 China Securities (International) Brokerage Company Limited 0 0 0 2 8 10 2 8 10 - 80.00 2014-10-28
21 EMPEROR FUTURES LIMITED 4 5 9 4 6 10 0 1 1 55.56 60.00
22 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 6 9 3 7 10 0 1 1 66.67 70.00 2008-07-03
23 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 6 9 3 7 10 0 1 1 66.67 70.00
24 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 8 10 2 8 10 0 0 0 80.00 80.00
25 KGI FUTURES (HONG KONG) LIMITED 6 5 11 6 4 10 0 -1 -1 45.45 40.00
26 BOCI COMMODITIES & FUTURES LIMITED 2 6 8 3 6 9 1 0 1 75.00 66.67 2004-11-17
27 GOLDMAN SACHS (ASIA) L.L.C. 3 8 11 3 6 9 0 -2 -2 72.73 66.67
28 HANG SENG FUTURES LIMITED 2 7 9 2 7 9 0 0 0 77.78 77.78 2017-11-17
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 5 8 3 5 8 0 0 0 62.50 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 ICBC Asset Management (Global) Company Limited 2 6 8 2 6 8 0 0 0 75.00 75.00
34 Oasis Management (Hong Kong) 2 7 9 2 6 8 0 -1 -1 77.78 75.00 2004-09-14
35 PFP Capital Limited 2 6 8 3 5 8 1 -1 0 75.00 62.50
36 AllianceBernstein Hong Kong Limited 3 3 6 3 4 7 0 1 1 50.00 57.14
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 5 1 6 5 2 7 0 1 1 16.67 28.57 2005-10-06
39 DEUTSCHE SECURITIES ASIA LIMITED 4 5 9 4 3 7 0 -2 -2 55.56 42.86 2004-01-08 2020-02-04
40 GENERALI INVESTMENTS ASIA LIMITED 2 1 3 2 5 7 0 4 4 33.33 71.43 2007-12-28 2018-09-26
41 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2016-10-10
42 HAMON ASSET MANAGEMENT LIMITED 2 6 8 3 4 7 1 -2 -1 75.00 57.14
43 OLD PEAK LIMITED (HK) 3 3 6 3 4 7 0 1 1 50.00 57.14 2005-08-26 2023-06-20
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 DELTA ASIA FINANCIAL FUTURES LIMITED 3 4 7 2 4 6 -1 0 -1 57.14 66.67
46 HGNH International Financial Corporation Limited 3 2 5 4 2 6 1 0 1 40.00 33.33 2011-12-09 2016-01-27
47 SDHG International Asset Management Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2008-12-02
48 TRADING CENTRAL ASIA LIMITED 2 1 3 2 4 6 0 3 3 33.33 66.67 2011-03-08
49 YUE XIU FUTURES COMPANY LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67 2024-07-30
50 Ark Futures (Hong Kong) Limited 2 6 8 2 3 5 0 -3 -3 75.00 60.00 2006-02-07
51 BOCOM International Securities Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2007-09-10
52 BREVAN HOWARD (HONG KONG) LIMITED 2 1 3 3 2 5 1 1 2 33.33 40.00 2008-03-12 2018-05-11
53 CHEONG LEE SECURITIES LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2009-08-27
54 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2011-04-26
55 Credit Suisse (Hong Kong) Limited 5 0 5 5 0 5 0 0 0 0.00 0.00 2008-11-04 2024-09-27
56 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2024-03-21
57 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
58 HGNH International Futures Co., Limited 3 1 4 4 1 5 1 0 1 25.00 20.00 2010-11-01
59 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 2 8 3 2 5 -3 0 -3 25.00 40.00
60 Soochow Securities International Futures Limited 2 3 5 1 4 5 -1 1 0 60.00 80.00 2012-08-27
61 WINTON CAPITAL ASIA LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2014-09-18
62 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
63 BALLINGAL INVESTMENT ADVISORS LIMITED 2 4 6 1 3 4 -1 -1 -2 66.67 75.00 2004-08-13
64 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
65 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
66 CHINA XIN YONGAN FUTURES COMPANY LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2014-06-25
67 Citigroup Global Markets Asia Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2013-01-09
68 ENHANCED INVESTMENT PRODUCTS LIMITED 4 3 7 2 2 4 -2 -1 -3 42.86 50.00
69 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
70 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
71 FULBRIGHT FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2012-03-20
72 GUOYUAN FUTURES (HONG KONG) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2008-03-05
73 HSBC Global Asset Management Holdings (Bahamas) Limited 6 1 7 3 1 4 -3 0 -3 14.29 25.00 2020-06-02
74 LUK FOOK FUTURES (HK) LIMITED 0 0 0 3 1 4 3 1 4 - 25.00 2015-02-26
75 MCG Management Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2014-02-12
76 MIZUHO SECURITIES ASIA LIMITED 1 2 3 3 1 4 2 -1 1 66.67 25.00 2010-03-01 2016-05-05
77 RC Futures Advisory Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2010-05-19
78 SG SECURITIES (HK) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2010-11-16
79 SINOPAC SECURITIES (ASIA) LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00 2013-05-16 2017-02-12
80 Tyric Capital Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2003-11-13
81 Well Link International Securities Limited 2 4 6 2 2 4 0 -2 -2 66.67 50.00 2012-10-04
82 YUE XIU SECURITIES COMPANY LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00 2013-12-02
83 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
84 AXA Investment Managers Asia Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2015-06-15
85 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2015-06-15
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 Central Universe Futures Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2013-10-28 2021-09-15
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 CLC FUTURES LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2014-10-29 2021-04-12
91 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
92 GUODU FUTURES (HONG KONG) LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2012-12-04
93 ICBC (Asia) Futures Company Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-23 2021-08-04
94 LIM ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-02-17
95 LT Finance Management Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2013-08-26 2019-09-25
96 MFG Limited (HK) 2 0 2 3 0 3 1 0 1 0.00 0.00 2010-05-24
97 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-03-25
98 Ping An Securities (Hong Kong) Futures Company Limited 2 0 2 1 2 3 -1 2 1 0.00 66.67 2012-03-30
99 Sino-Rich Securities & Futures Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-06-21
100 TFI Asset Management Limited 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2014-03-10
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 Annum Asset Management (Hong Kong) Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-12-24
113 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
114 Changjiang Futures (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-02-13 2024-10-25
115 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-06-03
116 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
117 CLSA FUTURES LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2016-06-02
118 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
119 FIRST SHANGHAI FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
120 GRT Capital Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-12-11 2017-01-26
121 HZ CAPITAL LIMITED (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2015-03-26 2024-06-07
122 IMPAC ASSET MANAGEMENT (HK) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2017-01-03
123 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
124 INVESCO HONG KONG LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
125 iVenture Investment Management Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00
126 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
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 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
130 SHACOM FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
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 ALETHEIA TECHNOLOGIES LIMITED (HK) 2 2 4 0 0 0 -2 -2 -4 50.00 - 2013-01-23 2014-06-11
136 AXIOM INVESTMENT MANAGEMENT LIMITED 1 0 1 0 0 0 -1 0 -1 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 SATTVA INVESTMENT ADVISORS LIMITED 1 0 1 0 0 0 -1 0 -1 0.00 - 2003-10-30 2015-04-22
142 WHARTON INVESTMENT ADVISORS LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2015-02-09
Average 2.73 5.22 7.95 2.66 5.63 8.28 65.68 67.93

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