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 We do not track the SFC-registered Executive Officers of HKMA-regulated banks, because the HKMA and SFC do not publish any past positions of these people or their appointment dates in their current positions.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:

Some data are hidden to fit your display. Rotate?

2014-07-31 2015-07-31 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 16 135 151 12 145 157 -4 10 6 89.40 92.36 2003-12-02
2 RBC INVESTMENT SERVICES (ASIA) LIMITED 3 52 55 4 51 55 1 -1 0 94.55 92.73 2004-10-14
3 PHILLIP COMMODITIES (H.K.) LIMITED 3 51 54 3 49 52 0 -2 -2 94.44 94.23
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 33 38 5 34 39 0 1 1 86.84 87.18 2012-12-17
6 Manulife Investment Management (Hong Kong) Limited 3 24 27 4 30 34 1 6 7 88.89 88.24
7 Morgan Stanley Asia Limited 5 22 27 6 26 32 1 4 5 81.48 81.25 2006-04-07
8 STATE STREET GLOBAL ADVISORS ASIA LIMITED 5 22 27 3 25 28 -2 3 1 81.48 89.29
9 BARING ASSET MANAGEMENT (ASIA) LIMITED 4 19 23 5 16 21 1 -3 -2 82.61 76.19
10 CHINA MERCHANTS FUTURES (HK) CO., LIMITED 5 10 15 4 17 21 -1 7 6 66.67 80.95
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 CHARLES SCHWAB, HONG KONG, LIMITED 4 10 14 4 11 15 0 1 1 71.43 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 9 13 3 9 12 -1 0 -1 69.23 75.00 2011-03-14
17 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED 3 6 9 2 10 12 -1 4 3 66.67 83.33 2008-07-03
18 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED 3 6 9 2 10 12 -1 4 3 66.67 83.33
19 CHIEF COMMODITIES LIMITED 3 3 6 3 8 11 0 5 5 50.00 72.73 2006-05-17 2025-08-31
20 EMPEROR FUTURES LIMITED 4 6 10 4 7 11 0 1 1 60.00 63.64
21 NOMURA INTERNATIONAL (HONG KONG) LIMITED 2 13 15 4 7 11 2 -6 -4 86.67 63.64
22 AllianceBernstein Hong Kong Limited 3 3 6 3 7 10 0 4 4 50.00 70.00
23 KGI FUTURES (HONG KONG) LIMITED 6 4 10 6 4 10 0 0 0 40.00 40.00
24 Yuanta Securities (Hong Kong) Company Limited 2 6 8 3 7 10 1 1 2 75.00 70.00 2012-06-14
25 BOCI COMMODITIES & FUTURES LIMITED 3 6 9 3 6 9 0 0 0 66.67 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 HANG SENG INVESTMENT MANAGEMENT LIMITED 2 8 10 2 7 9 0 -1 -1 80.00 77.78
29 Oasis Management (Hong Kong) 2 8 10 2 7 9 0 -1 -1 80.00 77.78 2004-09-14
30 OCP Asia (Hong Kong) Limited 3 7 10 3 6 9 0 -1 -1 70.00 66.67 2004-09-03 2022-06-13
31 Allianz Global Investors Asia Pacific Limited (SFC:BFE699) 0 0 0 3 5 8 3 5 8 - 62.50 2015-06-01
32 BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 2 5 7 2 6 8 0 1 1 71.43 75.00 2018-12-31
33 HAITONG INTERNATIONAL FUTURES LIMITED 3 5 8 3 5 8 0 0 0 62.50 62.50
34 HANG SENG FUTURES LIMITED 2 7 9 2 6 8 0 -1 -1 77.78 75.00 2017-11-17
35 BOCI SECURITIES LIMITED 5 2 7 5 2 7 0 0 0 28.57 28.57 2005-10-06
36 GALAXY ASSET MANAGEMENT (H.K.) LIMITED 2 4 6 2 5 7 0 1 1 66.67 71.43 2024-03-21
37 GOLDMAN SACHS FUTURES (ASIA) LIMITED 4 3 7 4 3 7 0 0 0 42.86 42.86 2016-10-10
38 ICBC Asset Management (Global) Company Limited 3 7 10 2 5 7 -1 -2 -3 70.00 71.43
39 OLD PEAK LIMITED (HK) 3 3 6 3 4 7 0 1 1 50.00 57.14 2005-08-26 2023-06-20
40 PFP Capital Limited 2 7 9 3 4 7 1 -3 -2 77.78 57.14
41 SDHG International Asset Management Limited 2 3 5 2 5 7 0 2 2 60.00 71.43 2008-12-02
42 BOCOM International Securities Limited 2 4 6 2 4 6 0 0 0 66.67 66.67 2007-09-10
43 BREVAN HOWARD (HONG KONG) LIMITED 2 1 3 3 3 6 1 2 3 33.33 50.00 2008-03-12 2018-05-11
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 3 3 6 0 -1 -1 57.14 50.00
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 GENERALI INVESTMENTS ASIA LIMITED 2 3 5 2 4 6 0 1 1 60.00 66.67 2007-12-28 2018-09-26
48 HAMON ASSET MANAGEMENT LIMITED 2 6 8 3 3 6 1 -3 -2 75.00 50.00
49 HGNH International Financial Corporation Limited 4 2 6 4 2 6 0 0 0 33.33 33.33 2011-12-09 2016-01-27
50 TRADING CENTRAL ASIA LIMITED 2 2 4 2 4 6 0 2 2 50.00 66.67 2011-03-08
51 YUE XIU FUTURES COMPANY LIMITED 2 4 6 2 4 6 0 0 0 66.67 66.67 2024-07-30
52 Ark Futures (Hong Kong) Limited 3 5 8 2 3 5 -1 -2 -3 62.50 60.00 2006-02-07
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 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 AlTi Wealth Management (Hong Kong) Limited 2 2 4 2 2 4 0 0 0 50.00 50.00 2004-05-11
62 BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED 2 2 4 2 2 4 0 0 0 50.00 50.00 2011-02-15
63 CAPE ASSET MANAGEMENT LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2006-05-23 2024-03-13
64 CHINA XIN YONGAN FUTURES COMPANY LIMITED 2 0 2 2 2 4 0 2 2 0.00 50.00 2014-06-25
65 Citigroup Global Markets Asia Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2013-01-09
66 ENHANCED INVESTMENT PRODUCTS LIMITED 3 3 6 2 2 4 -1 -1 -2 50.00 50.00
67 FIL Investment Advisors 3 1 4 3 1 4 0 0 0 25.00 25.00
68 FIL Investment Management (Hong Kong) Limited 3 1 4 3 1 4 0 0 0 25.00 25.00
69 FULBRIGHT FUTURES LIMITED 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2012-03-20
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 MIZUHO SECURITIES ASIA LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2010-03-01 2016-05-05
73 SINOPAC SECURITIES (ASIA) LIMITED 3 1 4 3 1 4 0 0 0 25.00 25.00 2013-05-16 2017-02-12
74 Tyric Capital Limited 2 1 3 2 2 4 0 1 1 33.33 50.00 2003-11-13
75 Well Link International Securities Limited 2 3 5 2 2 4 0 -1 -1 60.00 50.00 2012-10-04
76 ADMIS Hong Kong Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
77 BALLINGAL INVESTMENT ADVISORS LIMITED 2 4 6 1 2 3 -1 -2 -3 66.67 66.67 2004-08-13
78 BLUE POOL CAPITAL LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2004-11-10 2015-12-01
79 Central Universe Futures Limited 3 1 4 2 1 3 -1 0 -1 25.00 33.33 2013-10-28 2021-09-15
80 CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2018-09-21
81 CHINA YINSHENG INTERNATIONAL SECURITIES LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2006-05-23 2017-07-25
82 CLC FUTURES LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2014-10-29 2021-04-12
83 CLSA FUTURES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2016-06-02
84 Funderstone Futures Limited 2 1 3 2 1 3 0 0 0 33.33 33.33
85 GUODU FUTURES (HONG KONG) LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33 2012-12-04
86 GUOYUAN FUTURES (HONG KONG) LIMITED 3 2 5 2 1 3 -1 -1 -2 40.00 33.33 2008-03-05
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 SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 0 0 0 2 1 3 2 1 3 - 33.33 2015-06-19
95 Sino-Rich Securities & Futures Limited 2 0 2 2 1 3 0 1 1 0.00 33.33 2012-06-21
96 Soochow Securities International Futures Limited 2 5 7 1 2 3 -1 -3 -4 71.43 66.67 2012-08-27
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 VALUE PARTNERS HONG KONG LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2007-11-19
100 VALUE PARTNERS LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33
101 WINNINGTON CAPITAL LIMITED 2 2 4 2 1 3 0 -1 -1 50.00 33.33
102 YF ASSET MANAGEMENT LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-04-16
103 YUANTA FUTURES (HK) CO., LIMITED 2 1 3 2 1 3 0 0 0 33.33 33.33 2012-02-24
104 Zhonghao International Investment Consulting Co., Limited 3 0 3 3 0 3 0 0 0 0.00 0.00 2013-05-08
105 ZHONGRONG PT SECURITIES LIMITED 3 0 3 3 0 3 0 0 0 0.00 0.00 2010-07-30
106 ACCESS INVESTMENT MANAGEMENT (H.K.) LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
107 AD Capital Management (Hong Kong) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2004-09-08
108 AKTIS CAPITAL ADVISORY LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2003-11-29
109 Annum Asset Management (Hong Kong) Limited 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2013-12-24
110 BEA Union Investment Management Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-07-12
111 Changjiang Futures (HK) Limited 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-02-13 2024-10-25
112 CHINA INDUSTRIAL SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2013-06-03
113 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2012-08-28
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 GRT Capital Management Limited 2 0 2 1 1 2 -1 1 0 0.00 50.00 2013-12-11 2017-01-26
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 2 0 2 2 0 2 0 0 0 0.00 0.00 2017-01-03
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 3 1 4 2 0 2 -1 -1 -2 25.00 0.00
127 UPBEST COMMODITIES COMPANY LIMITED 2 1 3 1 1 2 -1 0 -1 33.33 50.00
128 VC INTERNATIONAL TRADING LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00 2022-10-27
129 WAVE RIDERS INVESTMENT MANAGEMENT LIMITED 2 0 2 2 0 2 0 0 0 0.00 0.00
130 WING ON CHEONG CHINA DEVELOPMENT COMPANY LIMITED 2 1 3 2 0 2 0 -1 -1 33.33 0.00 2016-04-19
131 YUE XIU SECURITIES COMPANY LIMITED 2 0 2 1 1 2 -1 1 0 0.00 50.00 2013-12-02
132 Imperium International Asset Management Limited 2 0 2 1 0 1 -1 0 -1 0.00 0.00 2008-12-02
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 2 4 0 0 0 -2 -2 -4 50.00 - 2015-06-15
135 AXA ROSENBERG INVESTMENT MANAGEMENT ASIA PACIFIC LIMITED 2 2 4 0 0 0 -2 -2 -4 50.00 - 2015-06-15
136 CNCB (Hong Kong) Capital Limited 1 4 5 0 0 0 -1 -4 -5 80.00 - 2015-08-20
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 PEAK PROSPERITY CONSULTING (HONG KONG) LIMITED 2 0 2 0 0 0 -2 0 -2 0.00 - 2012-11-09 2015-07-31
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 2.78 5.41 8.19 2.61 5.76 8.36 66.09 68.84

Sign up for our free newsletter

Recommend Webb-site to a friend

Copyright & disclaimer, Privacy policy

Back to top