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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2014-05-31 2015-05-31 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 17 134 151 14 140 154 -3 6 3 88.74 90.91 2003-12-02
2 PHILLIP COMMODITIES (H.K.) LIMITED 3 52 55 3 50 53 0 -2 -2 94.55 94.34
3 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 56 59 3 50 53 0 -6 -6 94.92 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 33 38 5 36 41 0 3 3 86.84 87.80 2012-12-17
6 Manulife Investment Management (Hong Kong) Limited 3 23 26 4 29 33 1 6 7 88.46 87.88
7 Morgan Stanley Asia Limited 5 20 25 6 26 32 1 6 7 80.00 81.25 2006-04-07
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 21 26 4 25 29 -1 4 3 80.77 86.21
9 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 4 12 16 5 19 24 1 7 8 75.00 79.17
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 3 14 17 -4 3 -1 61.11 82.35
13 NATIXIS ASIA LIMITED 4 7 11 2 14 16 -2 7 5 63.64 87.50 2008-08-05
14 CHARLES SCHWAB, HONG KONG, LIMITED 4 11 15 4 11 15 0 0 0 73.33 73.33 2016-08-31
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 8 12 3 10 13 -1 2 1 66.67 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 CHIEF COMMODITIES LIMITED 3 3 6 3 8 11 0 5 5 50.00 72.73 2006-05-17 2025-08-31
19 EMPEROR FUTURES LIMITED 4 6 10 4 7 11 0 1 1 60.00 63.64
20 Yuanta Securities (Hong Kong) Company Limited 2 6 8 3 8 11 1 2 3 75.00 72.73 2012-06-14
21 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 6 9 3 7 10 0 1 1 66.67 70.00 2008-07-03
22 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 6 9 3 7 10 0 1 1 66.67 70.00
23 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 8 10 2 8 10 0 0 0 80.00 80.00
24 KGI FUTURES (HONG KONG) LIMITED 6 4 10 6 4 10 0 0 0 40.00 40.00
25 BOCI COMMODITIES & FUTURES LIMITED 2 6 8 3 6 9 1 0 1 75.00 66.67 2004-11-17
26 China Securities (International) Brokerage Company Limited 0 0 0 2 7 9 2 7 9 - 77.78 2014-10-28
27 GOLDMAN SACHS (ASIA) L.L.C. 3 8 11 3 6 9 0 -2 -2 72.73 66.67
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 CNCB (Hong Kong) Capital Limited 1 4 5 1 7 8 0 3 3 80.00 87.50 2015-08-20
30 HAITONG INTERNATIONAL FUTURES LIMITED 3 6 9 3 5 8 0 -1 -1 66.67 62.50
31 HANG SENG FUTURES LIMITED 2 7 9 2 6 8 0 -1 -1 77.78 75.00 2017-11-17
32 ICBC Asset Management (Global) Company Limited 2 6 8 2 6 8 0 0 0 75.00 75.00
33 Oasis Management (Hong Kong) 2 7 9 2 6 8 0 -1 -1 77.78 75.00 2004-09-14
34 PFP Capital Limited 2 6 8 3 5 8 1 -1 0 75.00 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 4 5 9 4 3 7 0 -2 -2 55.56 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 6 8 3 4 7 1 -2 -1 75.00 57.14
42 OLD PEAK LIMITED (HK) 3 3 6 3 4 7 0 1 1 50.00 57.14 2005-08-26 2023-06-20
43 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
44 DELTA ASIA FINANCIAL FUTURES LIMITED 3 4 7 2 4 6 -1 0 -1 57.14 66.67
45 HGNH International Financial Corporation Limited 3 2 5 4 2 6 1 0 1 40.00 33.33 2011-12-09 2016-01-27
46 SDHG International Asset Management Limited 2 3 5 2 4 6 0 1 1 60.00 66.67 2008-12-02
47 TRADING CENTRAL ASIA LIMITED 2 1 3 2 4 6 0 3 3 33.33 66.67 2011-03-08
48 Ark Futures (Hong Kong) Limited 2 5 7 2 3 5 0 -2 -2 71.43 60.00 2006-02-07
49 BOCOM International Securities Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2007-09-10
50 BREVAN HOWARD (HONG KONG) LIMITED 2 1 3 3 2 5 1 1 2 33.33 40.00 2008-03-12 2018-05-11
51 CHEONG LEE SECURITIES LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2009-08-27
52 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 2 4 2 3 5 0 1 1 50.00 60.00 2011-04-26
53 Credit Suisse (Hong Kong) Limited 5 0 5 5 0 5 0 0 0 0.00 0.00 2008-11-04 2024-09-27
54 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2024-03-21
55 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
56 HGNH International Futures Co., Limited 3 1 4 4 1 5 1 0 1 25.00 20.00 2010-11-01
57 Soochow Securities International Futures Limited 2 3 5 1 4 5 -1 1 0 60.00 80.00 2012-08-27
58 WINTON CAPITAL ASIA LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2014-09-18
59 YUE XIU FUTURES COMPANY LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2024-07-30
60 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
61 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
62 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
63 CHINA XIN YONGAN FUTURES COMPANY LIMITED 0 0 0 2 2 4 2 2 4 - 50.00 2014-06-25
64 Citigroup Global Markets Asia Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2013-01-09
65 ENHANCED INVESTMENT PRODUCTS LIMITED 3 3 6 2 2 4 -1 -1 -2 50.00 50.00
66 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
67 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
68 FULBRIGHT FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2012-03-20
69 GUOYUAN FUTURES (HONG KONG) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2008-03-05
70 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 2 8 2 2 4 -4 0 -4 25.00 50.00
71 LUK FOOK FUTURES (HK) LIMITED 0 0 0 3 1 4 3 1 4 - 25.00 2015-02-26
72 MCG Management Limited 2 0 2 2 2 4 0 2 2 0.00 50.00 2014-02-12
73 MIZUHO SECURITIES ASIA LIMITED 1 2 3 3 1 4 2 -1 1 66.67 25.00 2010-03-01 2016-05-05
74 SG SECURITIES (HK) LIMITED 2 1 3 2 2 4 0 1 1 33.33 50.00 2010-11-16
75 SINOPAC SECURITIES (ASIA) LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00 2013-05-16 2017-02-12
76 Tyric Capital Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2003-11-13
77 Well Link International Securities Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2012-10-04
78 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
79 BALLINGAL INVESTMENT ADVISORS LIMITED 2 3 5 1 2 3 -1 -1 -2 60.00 66.67 2004-08-13
80 BLUE POOL CAPITAL LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2004-11-10 2015-12-01
81 Central Universe Futures Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2013-10-28 2021-09-15
82 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2018-09-21
83 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
84 CLC FUTURES LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2014-10-29 2021-04-12
85 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
86 GUODU FUTURES (HONG KONG) LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2012-12-04
87 HSBC Global Asset Management Holdings (Bahamas) Limited 6 1 7 2 1 3 -4 0 -4 14.29 33.33 2020-06-02
88 ICBC (Asia) Futures Company Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-23 2021-08-04
89 LIM ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-02-17
90 LT Finance Management Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2013-08-26 2019-09-25
91 MFG Limited (HK) 2 0 2 3 0 3 1 0 1 0.00 0.00 2010-05-24
92 MIB FUTURES (HONG KONG) LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2011-03-25
93 Ping An Securities (Hong Kong) Futures Company Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-03-30
94 Sino-Rich Securities & Futures Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-06-21
95 TFI Asset Management Limited 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2014-03-10
96 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
97 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
98 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
99 WINNINGTON CAPITAL LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
100 YF ASSET MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-04-16
101 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-02-24
102 YUE XIU SECURITIES COMPANY LIMITED 2 0 2 2 1 3 0 1 1 0.00 33.33 2013-12-02
103 Zhonghao International Investment Consulting Co., Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-05-08
104 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
105 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
106 AD Capital Management (Hong Kong) Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2004-09-08
107 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
108 Annum Asset Management (Hong Kong) Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-12-24
109 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
110 Changjiang Futures (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-02-13 2024-10-25
111 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-06-03
112 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
113 CLSA FUTURES LIMITED 3 0 3 2 0 2 -1 0 -1 0.00 0.00 2016-06-02
114 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
115 FIRST SHANGHAI FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
116 HZ CAPITAL LIMITED (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2015-03-26 2024-06-07
117 IMPAC ASSET MANAGEMENT (HK) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2017-01-03
118 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
119 INVESCO HONG KONG LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
120 iVenture Investment Management Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00
121 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
122 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
123 RC Futures Advisory Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2010-05-19
124 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
125 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
126 SHACOM FUTURES LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
127 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
128 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
129 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2016-04-19
130 GRT Capital Management Limited 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2013-12-11 2017-01-26
131 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
132 ALETHEIA TECHNOLOGIES LIMITED (HK) 1 2 3 0 0 0 -1 -2 -3 66.67 - 2013-01-23 2014-06-11
133 Allianz Global Investors Asia Pacific Limited (SFC:AOA171) 3 5 8 0 0 0 -3 -5 -8 62.50 - 2007-01-12 2015-05-31
134 AXA Investment Managers Asia Limited 2 3 5 0 0 0 -2 -3 -5 60.00 - 2015-06-15
135 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 3 5 0 0 0 -2 -3 -5 60.00 - 2015-06-15
136 BOCI ASSET MANAGEMENT LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2014-12-24
137 GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED 3 1 4 0 0 0 -3 -1 -4 25.00 - 2011-10-28 2014-10-31
138 JAGUAR INVESTMENT SERVICES, LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2015-06-22
139 METRO CAPITAL FUTURES LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2014-11-26
140 SATTVA INVESTMENT ADVISORS LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-10-30 2015-04-22
141 WHARTON INVESTMENT ADVISORS LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2015-02-09
Average 2.73 5.36 8.09 2.64 5.73 8.37 66.21 68.46

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