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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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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2014-06-30 2015-06-30 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 17 136 153 12 140 152 -5 4 -1 88.89 92.11 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 54 57 4 50 54 1 -4 -3 94.74 92.59 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 52 55 3 50 53 0 -2 -2 94.55 94.34
4 JPMorgan Asset Management (Asia Pacific) Limited 5 40 45 5 39 44 0 -1 -1 88.89 88.64
5 Standard Chartered Securities (Hong Kong) Limited 5 35 40 5 33 38 0 -2 -2 87.50 86.84 2012-12-17
6 Manulife Investment Management (Hong Kong) Limited 3 23 26 4 31 35 1 8 9 88.46 88.57
7 Morgan Stanley Asia Limited 4 20 24 6 25 31 2 5 7 83.33 80.65 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 5 10 15 5 18 23 0 8 8 66.67 78.26
10 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 17 21 4 16 20 0 -1 -1 80.95 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 10 14 4 11 15 0 1 1 71.43 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 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 6 9 3 9 12 0 3 3 66.67 75.00 2008-07-03
18 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 6 9 3 9 12 0 3 3 66.67 75.00
19 NOMURA INTERNATIONAL (HONG KONG) LIMITED 2 12 14 5 7 12 3 -5 -2 85.71 58.33
20 CHIEF COMMODITIES LIMITED 3 3 6 3 8 11 0 5 5 50.00 72.73 2006-05-17 2025-08-31
21 EMPEROR FUTURES LIMITED 4 6 10 4 7 11 0 1 1 60.00 63.64
22 Yuanta Securities (Hong Kong) Company Limited 2 6 8 3 8 11 1 2 3 75.00 72.73 2012-06-14
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 Oasis Management (Hong Kong) 2 8 10 2 7 9 0 -1 -1 80.00 77.78 2004-09-14
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 AllianceBernstein Hong Kong Limited 3 3 6 3 5 8 0 2 2 50.00 62.50
31 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 0 0 0 3 5 8 3 5 8 - 62.50 2015-06-01
32 HAITONG INTERNATIONAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50
33 HANG SENG FUTURES LIMITED 2 7 9 2 6 8 0 -1 -1 77.78 75.00 2017-11-17
34 PFP Capital Limited 2 5 7 3 5 8 1 0 1 71.43 62.50
35 BOCI SECURITIES LIMITED 5 1 6 5 2 7 0 1 1 16.67 28.57 2005-10-06
36 CNCB (Hong Kong) Capital Limited 1 4 5 1 6 7 0 2 2 80.00 85.71 2015-08-20
37 GENERALI INVESTMENTS ASIA LIMITED 2 2 4 2 5 7 0 3 3 50.00 71.43 2007-12-28 2018-09-26
38 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2016-10-10
39 HAMON ASSET MANAGEMENT LIMITED 2 5 7 3 4 7 1 -1 0 71.43 57.14
40 ICBC Asset Management (Global) Company Limited 2 7 9 2 5 7 0 -2 -2 77.78 71.43
41 OLD PEAK LIMITED (HK) 3 3 6 3 4 7 0 1 1 50.00 57.14 2005-08-26 2023-06-20
42 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 5 7 2 4 6 0 -1 -1 71.43 66.67 2018-12-31
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 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED 2 2 4 2 4 6 0 2 2 50.00 66.67 2011-04-26
45 DELTA ASIA FINANCIAL FUTURES LIMITED 3 4 7 2 4 6 -1 0 -1 57.14 66.67
46 DEUTSCHE SECURITIES ASIA LIMITED 4 5 9 3 3 6 -1 -2 -3 55.56 50.00 2004-01-08 2020-02-04
47 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2024-03-21
48 HGNH International Financial Corporation Limited 4 2 6 4 2 6 0 0 0 33.33 33.33 2011-12-09 2016-01-27
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 Ark Futures (Hong Kong) Limited 2 5 7 2 3 5 0 -2 -2 71.43 60.00 2006-02-07
52 BOCOM International Securities Limited 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2007-09-10
53 BREVAN HOWARD (HONG KONG) LIMITED 2 1 3 3 2 5 1 1 2 33.33 40.00 2008-03-12 2018-05-11
54 CHEONG LEE SECURITIES LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2009-08-27
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 GUOTAI JUNAN FUTURES (HONG KONG) LIMITED 2 3 5 2 3 5 0 0 0 60.00 60.00 2010-11-26
57 HGNH International Futures Co., Limited 4 1 5 4 1 5 0 0 0 20.00 20.00 2010-11-01
58 MCG Management Limited 2 0 2 2 3 5 0 3 3 0.00 60.00 2014-02-12
59 SG SECURITIES (HK) LIMITED 2 1 3 2 3 5 0 2 2 33.33 60.00 2010-11-16
60 WINTON CAPITAL ASIA LIMITED 0 0 0 2 3 5 2 3 5 - 60.00 2014-09-18
61 YUE XIU FUTURES COMPANY LIMITED 2 4 6 2 3 5 0 -1 -1 66.67 60.00 2024-07-30
62 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
63 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
64 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
65 CHINA XIN YONGAN FUTURES COMPANY LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00 2014-06-25
66 Citigroup Global Markets Asia Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2013-01-09
67 ENHANCED INVESTMENT PRODUCTS LIMITED 3 3 6 2 2 4 -1 -1 -2 50.00 50.00
68 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
69 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
70 FULBRIGHT FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2012-03-20
71 GUOYUAN FUTURES (HONG KONG) LIMITED 3 2 5 3 1 4 0 -1 -1 40.00 25.00 2008-03-05
72 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED 6 2 8 2 2 4 -4 0 -4 25.00 50.00
73 LUK FOOK FUTURES (HK) LIMITED 0 0 0 3 1 4 3 1 4 - 25.00 2015-02-26
74 MIB FUTURES (HONG KONG) LIMITED 2 0 2 3 1 4 1 1 2 0.00 25.00 2011-03-25
75 MIZUHO SECURITIES ASIA LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2010-03-01 2016-05-05
76 SINOPAC SECURITIES (ASIA) LIMITED 4 1 5 3 1 4 -1 0 -1 20.00 25.00 2013-05-16 2017-02-12
77 Soochow Securities International Futures Limited 2 5 7 1 3 4 -1 -2 -3 71.43 75.00 2012-08-27
78 Tyric Capital Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2003-11-13
79 Well Link International Securities Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2012-10-04
80 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
81 BALLINGAL INVESTMENT ADVISORS LIMITED 2 4 6 1 2 3 -1 -2 -3 66.67 66.67 2004-08-13
82 BLUE POOL CAPITAL LIMITED 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2004-11-10 2015-12-01
83 Central Universe Futures Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2013-10-28 2021-09-15
84 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2018-09-21
85 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
86 CLC FUTURES LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2014-10-29 2021-04-12
87 CLSA FUTURES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2016-06-02
88 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
89 GUODU FUTURES (HONG KONG) LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2012-12-04
90 HSBC Global Asset Management Holdings (Bahamas) Limited 6 1 7 2 1 3 -4 0 -4 14.29 33.33 2020-06-02
91 ICBC (Asia) Futures Company Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-07-23 2021-08-04
92 LIM ADVISORS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2021-02-17
93 LT Finance Management Limited 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2013-08-26 2019-09-25
94 MFG Limited (HK) 2 0 2 3 0 3 1 0 1 0.00 0.00 2010-05-24
95 Ping An Securities (Hong Kong) Futures Company Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-03-30
96 Sino-Rich Securities & Futures Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-06-21
97 Superactive Financial Group Company Limited 0 0 0 2 1 3 2 1 3 - 33.33 2015-06-12
98 TFI Asset Management Limited 2 3 5 2 1 3 0 -2 -2 60.00 33.33 2014-03-10
99 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
100 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
101 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
102 WINNINGTON CAPITAL LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
103 YF ASSET MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-04-16
104 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-02-24
105 Zhonghao International Investment Consulting Co., Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-05-08
106 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
107 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
108 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
109 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
110 Annum Asset Management (Hong Kong) Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-12-24
111 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
112 Changjiang Futures (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-02-13 2024-10-25
113 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-06-03
114 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
115 ELLIOTT ADVISORS (HK) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-03-08 2022-03-16
116 FIRST SHANGHAI FUTURES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
117 HZ CAPITAL LIMITED (HK) 0 0 0 2 0 2 2 0 2 - 0.00 2015-03-26 2024-06-07
118 IMPAC ASSET MANAGEMENT (HK) LIMITED 1 0 1 2 0 2 1 0 1 0.00 0.00 2017-01-03
119 Imperium International Asset Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2008-12-02
120 INVESCO HONG KONG LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00
121 iVenture Investment Management Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00
122 Metaverse Securities Limited (HK) 2 0 2 2 0 2 0 0 0 0.00 0.00
123 PRUDENTIAL INDEX TRADING COMPANY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
124 RC Futures Advisory Limited 2 2 4 2 0 2 0 -2 -2 50.00 0.00 2010-05-19
125 ROCTEC INVESTMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2005-09-16 2021-10-07
126 SDICS International Futures (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2010-10-25
127 SHACOM FUTURES LIMITED 2 2 4 2 0 2 0 -2 -2 50.00 0.00
128 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 2 0 2 2 0 2 - 0.00 2015-06-19
129 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
130 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
131 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2016-04-19
132 YUE XIU SECURITIES COMPANY LIMITED 2 0 2 1 1 2 -1 1 0 0.00 50.00 2013-12-02
133 GRT Capital Management Limited 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2013-12-11 2017-01-26
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 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
136 AXA Investment Managers Asia Limited 2 2 4 0 0 0 -2 -2 -4 50.00 - 2015-06-15
137 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2015-06-15
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 2 0 2 0 0 0 -2 0 -2 0.00 - 2003-10-30 2015-04-22
142 WHARTON INVESTMENT ADVISORS LIMITED 2 1 3 0 0 0 -2 -1 -3 33.33 - 2015-02-09
Average 2.75 5.37 8.12 2.63 5.66 8.29 66.08 68.23

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